Gary DeWaal, special counsel in the Financial Services practice, will moderate the 2015 FIA Law and Compliance Conference's opening panel discussion on Monday, June 22 at 2:00 p.m. (ET). During the session, "Compliance Rapid Fire Baltimore: 2015," Gary will ask the panelists a multitude of questions on how potential industry registrants (e.g., futures commission merchants, swap dealers, introducing brokers, commodity trading advisors, commodity pool operators, broker-dealers, derivatives clearing organizations, designated contract markets and swaps exchange facilities) can establish and maintain registration in good standing on an ongoing basis. The panelists also will share what they believe it takes to enable chief compliance officers, chief regulatory officers, in-house counsel and their colleagues to comply with both legacy regulations and the myriad of new rules adopted since the Dodd–Frank Wall Street Reform and Consumer Protection Act.
Kevin Foley, a partner in the Financial Services practice, will participate in a panel, "The JAC Margin Handbook - A User's Guide and a Blueprint For Revisions" on Tuesday, June 23 at 2:00 p.m. (ET). The panelists will discuss the role of the Joint Audit Committee (JAC) in the regulation of futures commission merchants, and will address topics such as process, transparency and review of the JAC handbooks. The panel also will focus on what needs to be updated/conformed, analysis of recent rulemaking initiatives and the current status of JAC 14-03.
For more information, click here.