Katten will host its annual Financial Markets Litigation and Enforcement Symposium Series over three days in November. The virtual symposium will feature discussions on current regulatory enforcement and litigation issues facing the financial services industry. The series also will continue the discussion on the importance of expanding diversity in the financial services legal industry.
Futures: Emerging Trends and Enforcement Priorities
The series kicks off at 1 p.m. (ET) on Tuesday, November 2, with "Futures: Emerging Trends and Enforcement Priorities." Speakers will discuss swap dealer developments and priorities, exchange enforcement priorities and CFTC enforcement priorities.
Financial Markets and Funds partners Daniel Davis and Carl Kennedy and Financial Markets Litigation and Enforcement partner Patrick Smith will be joined by Vito Naimoli, Chief Regulatory Officer, ICE Futures U.S.; Steve Schweitzer, Senior Director & Global Enforcement Counsel, CME Group; and Manal Sultan, Deputy Director, Commodity Futures Trading Commission.
Market Trading Issues and Hot Topics Panel
At 1 p.m. (ET) on Thursday, November 11, the program will continue with the panel “Market Trading Issues and Hot Topics.” Speakers will address topics including the SEC report on GameStop and meme trading frenzy as well as the best execution obligations of the broker-dealer to use reasonable diligence to ascertain the best market for the security. Speakers also are set to discuss payment for order flow, gamification practices, as well as the role of social media and influencers in this space.
Scheduled speakers are Katten partners, Susan Light, Financial Markets and Funds, Michael J. Lohnes, Securities Litigation, and Patrick M. Smith, Litigation.
Securities Regulatory and Enforcement Update
At 2:15 p.m. (ET) on Thursday, November 11, the program will resume with a “Securities Regulatory and Enforcement Update — Asset Management.” Speakers will discuss industry trends, regulatory initiatives from the new administration and rule changes from the end of the prior administration, enforcement priorities, and an update on ETFs.
Financial Markets and Funds partners Richard D. Marshall and Paul McCurdy are scheduled to be joined by Claude Kavanagh, Assistant General Counsel & Director, Global Equities Sales & Trading, Bank of America Merrill Lynch.
A Year Later: Financial Institutions Discuss their Open Letter to the Global Legal Community and the Progress Made
At 2 p.m. (ET) on Thursday, November 18, the series wraps up with a discussion about the importance of expanding diversity in the financial services legal industry. Speakers include representatives from the financial institutions that pledged their commitment to diversity in an open letter to the legal community last year.
Litigation partner Nicole A. Saleem will moderate a panel featuring Markus Diethelm, Of Counsel, UBS; Marie Merritt, Managing Director, JPMorgan Chase; Lani Quarmby, Associate General Counsel and Managing Director, Bank of America; and Alita Wingfield, Managing Director and Head of Compliance Training, Morgan Stanley.
These events are closed to the media. If you are a member of the media and have questions, please contact Jacquelyn Heard.
Read coverage from the 2021 Annual Financial Markets Litigation and Enforcement Symposium Series:
The State of Futures: Emerging Trends and Enforcement Priorities
Market Trading Trends: Expect Regulatory Guidance to Accelerate
Securities Regulatory and Enforcement: Four Asset Management Trends
Global Financial Institutions Legal Departments Share D&I Successes and Lessons Learned