Several Katten attorneys will speak at the FIA Law & Compliance Division Conference, of which the firm will also serve as a sponsor, taking place on Wednesday, April 15, to Friday, April 17.
On Thursday, April 16, three attorneys will serve as speakers on panels. At 8:30 a.m., Financial Markets and Regulation Partner and Co-Chair Dan Davis will speak on "The (Ethical) Art of a Deal," discussing what ethical issues present with transactional matters in the derivatives space (i.e., acquiring or standing up a new regulated entity, over-the-counter swaps negotiations).
At 11:15 a.m., Financial Markets and Funds Partner Christopher Collins will speak on "International Trading: Let's Get it On." The session will discuss the steps that federal regulators and industry participants have been taking to make cross-border derivatives trading easier, from expanding access to foreign swaps markets for US persons, to enhancing collateral efficiencies for US customers trading foreign futures, to simplifying rules and registration requirements for foreign entities that service US firms.
At 3:45 p.m., Financial Markets and Regulation Partner and Co-Chair Carl Kennedy will speak on "Core Principles for a New Era." Panelists will explore the frictions and what might be next for the CFTC and the industry as rapidly evolving market structures, trading hours, products and market participants have some questioning whether designated contract markets (DCM), derivatives clearing organizations (DCO), and swap execution facilities (SEF) core principles remain fit for purpose.
On Friday, April 17, at 9:45 a.m., Financial Markets and Funds Partner Stephen Morris will speak on the "Customer Onboarding Primer." The session will develop a checklist and share best practices for onboarding a trading client. Documentation, disclosures, know your customer (KYC) ... the session will cover all the key areas with practical insights from practitioners.
Learn more about the FIA Law & Compliance Division Conference.
