Katten will host the "Not Losing Sight of Today for Tomorrow: Selected Current Hot Regulatory Topics" program at 4:00 p.m. on Tuesday, March 28. Wendy Cohen, co-chair of the New York Financial Services group, will moderate the program and Financial Services attorneys Gary DeWaal and Richard Marshall will serve as panelists. The program will address the state of financial regulations and changes that may come with the new administration. Discussion topics include:

  • Developments in futures trading practices: block trades; EFRPs; market disruption; position limits
  • Developments in asset management: new custody rule interpretations; status of ERISA fiduciary rule; robo-advisers
  • Conducting an internal investigation: a case study on investigating an insider trading situation post Salman case
  • Early indications on the direction of CFTC and SEC regulation

The J House Greenwich
1114 East Putnam Avenue
Greenwich, Connecticut