Seven Katten attorneys will participate in the FIA Law & Compliance Division Conference on April 27–29. At 3:30 p.m. on Wednesday, April 27, Financial Markets Litigation and Enforcement partner and chair Christian Kemnitz will speak on the "But Wait, There's More Enforcement – Exchange Enforcement" panel, discussing the latest cases being brought by the exchanges as well as what they plan to bring in the future. At 4:30 p.m. the same day, Financial Markets and Regulation chair Gary DeWaal will co-host "Not the Old Soup to Nuts" roundtable discussion, an opportunity to ask two industry veterans about their careers and gain knowledge on career development.
On Thursday, April 28, UK-based Financial Markets and Funds partner Carolyn Jackson will speak on the "FCM vs. Swap Dealer" panel at 10:00 a.m., discussing the differences between FCMs and Swap Dealers and explaining the fundamental functions and regulations affecting them. At 2:30 p.m., Financial Markets and Funds partner Daniel J. Davis will speak on the "Does 'Decentralized' Finance Mean De-Regulated Finance?" panel, exploring what exactly is meant by DeFi, how it is different from traditional, centralized finance and, most importantly, what rules and regulations apply (or should apply).
On Friday, April 29, Finance and Financial Markets associate Chris Collins will speak on the "See EU Soon" discussion at 9:00 a.m. Panelists will take stroll through the year's highlights on changes from our regulatory friends across the pond, hold a discussion on things to come, and share practical and insightful updates on top of the potential impact of major non-US changes and the clearing infrastructure as we know it. At 10:30 a.m., Financial Markets and Funds partner Stephen Morris will speak on the "Foreign Security Futures: Find Me a Regulator!" panel, and will discuss the complex US regulatory framework for foreign security futures, untangling the complicated regulatory structure and working through recent developments. At 12:00 p.m., Financial Markets and Funds partner Carl Kennedy will moderate the "Blowing the Whistle" panel, discussing how the CFTC's and SEC's Whistleblower programs and offices work as well as how a firm avoids actions and policies that violate whistleblower rights.