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2016 CFTC and SRO Enforcement Trends

part of the FIA Law & Compliance Division webinar series
17 November 2016 10:00am to 11:00am EST

Get up to speed on the 2016 CFTC and SRO enforcement trends at the final FIA Law & Compliance Division webinar for 2016. During this webinar, Geoffrey Aronow and Michael Sackheim of Sidley Austin LLP will review the key market conduct rules and interpretive guidance and discuss potential compliance solutions and policies to assist market participants in steering clear of the CFTC’s and SROs’ crosshairs.

Topics will include: 

  • Spoofing
  • Manipulation
  • Misuse of confidential information 
  • Exchange for related positions/block trades/wash trades/non-competitive trades
  • Failure to supervise
  • Automated trading system failure
  • Reporting violations

 

Presenters:

Geoffrey Aronow and Michael Sackheim of Sidley Austin LLP

View Recorded Webinar l Download Presentation

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