Past Webinars
-
Trends in ETD Trading Q3 2024
FIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar will provide insights into trends in trading activity in the global listed derivatives markets for the year to date. Areas of focus will include equity index derivatives in India, the US and Europe, interest rate futures and options in the US and Europe, and commodity futures and options in Europe, APAC and the US.
CONTINUE READING -
Double Trouble (or More): Effectively Navigating Parallel Investigations
Market participants subject to enforcement investigations by the CFTC are increasingly having to deal not only with a single investigation, but also parallel investigations by the Department of Justice, non-U.S. regulators (such as in the UK, Asia, and Middle East), and sometimes the financial exchanges and other SROs. Parallel investigations present unique challenges for the target or subject, including in dealing with timing, production of information, testimony, whistleblowers, presentations, and potential resolutions – whether in the areas of market manipulation and other disruptive trading, anti-corruption, sanctions, or others. This is made all the more complicated when dealing with cross-border investigations. The team from Morgan Lewis—including a former chief of the Fraud Section and a leader of the Market Integrity & Major Frauds Unit—will address these challenges as evidenced in recent enforcement actions, and provide useful insights into approaches for navigating parallel investigations, in the U.S. and cross-border, to minimize risk and maximize the prospects for success.
CONTINUE READING -
CFTC’s Evolving Disclosure Requirements
Traditionally, in contrast to the securities industry, transactions involving commodities and commodity derivatives have not been associated with extensive disclosures. After the Dodd Frank amendments, swap dealers are required to provide certain disclosures to their counterparties. Recent CFTC enforcement actions involving disclosure requirements test the outer boundaries and scope of required disclosures, in part channeling disclosure requirements imposed by the SEC. This seminar will discuss these requirements, emerging enforcement trends as well as developing industry responses, including in the United States, European Union and United Kingdom.
CONTINUE READING -
Q2 2024 ETD Volume Trends
FIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar will provide insights into trends in trading activity in the global listed derivatives markets.
CONTINUE READING -
Closing Chevron: Administrative Law Developments
Administrative law is center stage this year. Last week the U.S. Supreme Court overruled the well-known Chevron deference doctrine. This webinar will address the Court’s seismic decision and what it means for financial services regulation and federal administrative law more broadly moving forward.
CONTINUE READING -
Q1 2024 ETD Volume Trends
FIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar will provide insights into trends in trading activity in the global listed derivatives markets.
CONTINUE READING -
ESG Futures Products
Recent developments in financial markets have led to a significant increase in the availability and interest in Environmental, Social, and Governance (ESG) futures products.
CONTINUE READING -
The SEC’s New Treasury Clearing Rule
Last December, the SEC adopted final rules that will require most market participants to clear repos they enter into on US Treasury securities as well as certain cash purchases and sales of Treasury securities.
CONTINUE READING -
Enforcement & Technology: Prevent & Manage Technology Investigations
This webinar will provide practical guidance on how to manage investigations involving complicated and proprietary technology, including algorithmic trading systems and AI.
CONTINUE READING -
MNPI and Physical Commodities Markets
Sullivan & Cromwell’s Commodities, Futures and Derivatives team will discuss recent CFTC and SEC enforcement actions involving MNPI-related violations and their implications for physical commodities and derivatives markets and market participants.
CONTINUE READING
