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Past Events

Past Events

You are now viewing 1 - 10 of 42 results

Swaps Trading Compliance

part of the FIA Law & Compliance Division webinar series
8 February 2018 10:00am to 11:00am EST
The FIA Law & Compliance Division webinar series continues on February 8, focusing on the latest updates on swaps trading compliance and regulations. Building on the designing your SEF compliance...

CFTC’s Approach to FinTech

part of the FIA Law & Compliance Division webinar series
25 January 2018 10:00am to 11:00am EST
Entrepreneurs, investors, and regulators realize the incredible potential of fintech to create new opportunities for and streamline financial services businesses. This webinar will explore the CFTC’s...

Recordkeeping

part of the FIA Law & Compliance Division webinar series
14 December 2017 10:00am to 11:00am EST
The CFTC’s amendments to the recordkeeping rule became effective at the end of August 2017. Now that the CFTC has updated its recordkeeping rules to account for technological advances, what are the...

Clearing 101

an FIA Law & Compliance Division event
6 December 2017 2:00pm to 5:00pm EST
CME Group New York // 300 Vesey Street: NY-300-085-A-Multi-Purpose Room// New York, NY 10282 Ever wonder why there's all this fuss about derivatives clearing? Do you understand the purpose and...

Antitrust Considerations for Participants in the Commodity Markets

part of the FIA Law & Compliance Division webinar series
16 November 2017 10:00am to 11:00am EST
In recent years, many firms have been subject to civil and even criminal investigations and actions alleging antitrust violations. This webinar will address the most common antitrust legal provisions...

A CFTC Enforcement Refresher and Overview of Cooperation Credit

part of the FIA Law & Compliance Division webinar series
4 October 2017 10:00am to 11:00am EDT
Drinker Biddle partners Jim Lundy and Mary Hansen will provide guidance on best practices when dealing with a CFTC Enforcement investigation. They will also analyze the CFTC Enforcement advisories...

It’s All About Cyber

part of the FIA Law & Compliance Division webinar series
14 September 2017 10:00am to 11:00am EDT
The new administration wants regulatory agencies to incorporate cybersecurity into their oversight responsibilities. Both the Commodity Futures Trading Commission, Securities and Exchange Commission...

ICE MiFID II Workshop in New York

An FIA Law & Compliance Division Event
20 July 2017 2:00pm EDT
New York Stock Exchange (NYSE) // New York, NY
July 20, 2017 // New York Stock Exchange (NYSE) // 11 Wall St. New York, NY FIA Law & Compliance Division invites you to attend a special workshop presented by Intercontinental Exchange on MiFID...

ICE MiFID II Workshop in Chicago

An FIA Law & Compliance Division Event
18 July 2017 2:00pm CDT
ICE Offices // Chicago, IL
July 18, 2017 // ICE Offices // 353 N Clark St. Chicago, IL 60654 FIA Law & Compliance Division invites you to attend a special workshop presented by Intercontinental Exchange on MiFID II...

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