FIA Law & Compliance Division Conference

Several Katten attorneys will participate in the FIA Law & Compliance Division Conference, of which the firm will also serve as a gold sponsor, taking place on April 24–26.

On Thursday, April 25, Financial Markets and Funds Senior Counsel Gary DeWaal will moderate the "Market Surveillance in the Age of Expanding Products and Innovation" panel at 8:30 a.m. Panelists will discuss how derivatives market developments, product trends, and shifting trading and settlement patterns are affecting priorities in market surveillance.

At 2:15 p.m., Financial Markets and Regulation Partner and Co-Chair Carl Kennedy will serve as a panelist for the "Scanning the Horizon: How to Prepare Your Business for New Regulations" session. The panel will identify upcoming new regulations and discuss the science — and art — of translating regulatory changes into business vernacular.

On Friday, April 26, Financial Markets and Regulation Partner and Co-Chair Daniel Davis will moderate the "Effect of the Administrative State on Financial Regulation" panel at 10:30 a.m. The panel will consider the question, is deference to federal agencies dead? The Supreme Court has promulgated the major questions doctrine and is set to revisit Chevron deference. Meanwhile the Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) have suffered adverse decisions in high-profile cases in lower federal courts that call into question agency discretion in issuing staff advisories and relief. The Financial Industry Regulatory Authority (FINRA)'s authority is also under attack. Panelists will discuss the impact of these court decisions on the SEC, CFTC and broader federal financial regulation, in both the short and long term.

Also at 10:30 a.m., Financial Markets and Funds Partner Stephen Morris will moderate the "Role of Legal and Compliance in Cybersecurity and Crisis Management" panel. The panel will discuss how high-profile cybersecurity breaches have disrupted futures and securities markets in recent years, with targets including market participants and service providers. Experts expect cyber threats to only proliferate in years to come — it's no surprise, then, that US and global regulators are taking increased interest in firms' disaster recovery and business continuity plans and capabilities, with cybersecurity at the top of the list. Panelists will review regulatory developments and industry initiatives in cybersecurity and operational resilience, with a special focus on what legal and compliance departments can do to prepare their firms to comply with new requirements and how legal and compliance can support operations teams before, during and after crises.

Learn about the FIA Law & Compliance Division Conference.