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Katten’s Annual Financial Markets Regulation Crystal Ball —
A Look Back at 2020 and a Look Forward to 2021
Katten Financial Markets Regulation attorneys invite you to join them in a lively discussion on US financial regulatory and enforcement developments — addressing securities, derivatives and cryptoassets and industry participants — from 2020 and a forecast for 2021.
This year’s event will feature Katten’s newest partner, Dan Davis, who until recently was the former general counsel at the Commodity Futures Trading Commission (CFTC). Other Katten speakers will include Gary DeWaal, James Brady, Kevin Foley, Carl Kennedy, Sue Light and Richard Marshall.
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Topics will include:
• Impacts of new leadership at the CFTC and the Securities and Exchange Commission (SEC)
• CFTC implementation of recently adopted regulations
• Implementation of new National Futures Association (NFA) compliance requirements for swap dealers
• Latest cryptoasset regulatory and enforcement developments
• Assessing the adequacy of Consolidated Audit Trail (CAT) compliance programs
• New SEC rules on adviser advertising, mutual fund use of derivatives valuation and ETFs, and implementation of Reg BI and Form CRS
• SEC’s enforcement activity related to disgorgement, statutes of limitations and aggressive use of the Compliance Rule
KATTEN FINANCIAL MARKETS AND FUNDS SPEAKERS :
QUESTIONS?
Email Katten Webinar Support.
CLE INFORMATION:
Katten is an accredited provider of MCLE in Illinois and California. Katten has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. This program is pending approval in these states for approximately 1.0 general CLE credit, subject to review of final presentation materials and attendance documentation. This program is suitable for transitional and non-transitional attorneys (professional practice credit only). If any attendees are licensed in TX, Katten will apply for CLE credit with the State Bar of Texas, post-program. All verification forms must be returned to Katten within 10 business days of the program date or credit will not be issued. Our firm is not accredited in any other jurisdictions or professional accreditations; however, we will make agendas, speaker biographies and presentation materials (contingent upon speaker consent) available to those attorneys who wish to file an individual CLE application in their licensed jurisdiction. Please check your state’s rules as to whether reciprocal credit is available. Please note that Katten makes no representations whether other states will accredit this program.
Attorney advertising. Published as a source of information only. The material contained herein is not to be construed as legal advice or opinion.
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Katten refers to Katten Muchin Rosenman LLP and the affiliated partnership as explained at katten.com/disclaimer.
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