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FIA Training Workshop Series

Practical Guidance on Markets and Compliance
19 October 2017 9:00am to 5:30pm CDT
Hilton Chicago // Chicago, IL

The FIA Training Workshop series is designed to help market participants better understand regulatory requirements and help firms meet their training requirements. Each session will provide practical information about how markets work and highlight potential abuses and recent regulatory actions. Participants will be given a certificate upon the completion of each course. 

Sign up for single workshops or the whole series. 

Single Workshop (Single Session):  $135.00 Member / $155.00 Non-Member
Workshop Series (Single Day – Thursday):  $525.000 Member / $600.00 Non-Member 

 

 

Note: FIA is managing the FIA Training workshop series registration through the Expo 2017 registration site. FIA Training Workshop registration gives you access to the Expo trade show and key networking events. 

 

Workshop Series

9:15 a.m. Disruptive Trading Practices in an E-World

Spoofing, layering, flipping, banging the close, quote stuffing, wash trades and inappropriate use of liquidity schemes…this session will discuss trading practices that are being carefully scrutinized by regulators around the world. Speakers will discuss trading behaviors most likely to bring regulatory action against individuals and firms and give examples of recent cases.

Chair: 
Gary DeWaal, Special Counsel, Katten Muchin Rosenman 

Speakers: 
Harris Kay, Officer, Greesnfelder Hemker & Gale 
Vito Naimoli, Senior Manager, Market Regulation, ICE Futures U.S.
Lyndon Richards, Executive Director, Compliance, J.P. Morgan
Andrew Vrabel, Executive Director, Global Investigations, CME Group


10:45 a.m.  Trading Fundamentals for Electronic Traders

This session is designed to prepare market participants to trade electronically with a focus on exchange rules. The panel starts with the basics of electronic trading including contract specifications, contract expiration conduct, trader IDs, and messaging policies. Speakers will then address areas where exchange sanctions are common such as position limits, pre-execution communication, test trades, position transfers and recordkeeping requirements.

Chair:
Ben Morof, Associate General Counsel & Chief Compliance Officer, Teza Technologies

Speakers:
Keith Fishe, Managing Partner, TradeForecaster Global Markets
Neal Kumar, Associate, Willkie Farr & Gallagher
Tom Mallers, Director of Compliance, Rosenthal Collins Group
Kurt Windeler, Senior Director, Market Regulation, Intercontinental Exchange 


2:15 p.m. Off-Exchange Trading: Blocks & EFRPs

This session drills down on specific off-exchange trading concepts and will cover the fundamentals of block trades and exchange-for-related positions and rules related to off-exchange trading activity. Topics include client suitability, client consent, size criteria, pricing, and reporting and documentation requirements. It will also include a discussion of the FIA EFRP Agreement. Speakers will highlight areas where they see the most problems.

Chair:
Maureen Guilfoile, Executive Director & Associate General Counsel, CME Group 

Speakers:
Erik Haas, Director, Market Regulation, ICE Futures U.S.
Robert Sniegowski, Executive Director, Rules & Regulatory Outreach, CME Group


4:00 p.m. CFTC Risk Management Training Requirements

CFTC Rule 1.11 requires FCMs to provide annual training for finance, treasury, operations, regulatory, compliance, settlement and other relevant officers and employees. This course is designed to cover required training topics such as segregation requirements, notice requirements, procedures for reporting suspected breaches of risk management policies and procedures, and the consequences of failing to comply. 

Chair:
Janet McCormick, Vice President & Compliance Officer, Mizuho Securities

Speakers:
Stephen Obie, Partner, Jones Day 
Dale Spoljaric, Managing Director, Compliance, National Futures Association 

 

Schedule subject to change. 

Certificates of completion will be available for each workshop.  You must scan out of the workshop in order to receive a certificate.  Certificates will be emailed to you within one month of the event. 

 

Other FIA Training Opportunities 

FIA Training also offers online courses. Check out currently available courses and what’s coming soon! 

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