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:
- Misuse of confidential information
- Exchange for related positions/block trades/wash trades/non-competitive trades
- Failure to supervise
- Automated trading system failure
- Reporting violations
Geoffrey Aronow and Michael Sackheim of Sidley Austin LLP