The firm will present its Swap Dealer Roundtable at 12:30 p.m. on Tuesday, May 20, where Katten Financial Markets attorneys and a group of swap dealer/security-based swap dealer attorneys and compliance professionals will discuss current legal and compliance challenges facing swap dealers and security-based swap dealers, including the shifts in federal financial regulations and enforcement trends under the new administration (e.g., the CFTC's enforcement sprint initiative), NFA and SEC Exam Updates, the upcoming expiration of the SEC's security-based swap data reporting relief, and other timely issues. Topics will include:
- New Administration, New Regulatory and Enforcement Priorities
- Treasury Clearing Readiness
- NFA and SEC Exam Updates
Katten speakers will include Financial Markets and Regulation Partners and Co-Chairs Dan Davis and Carl Kennedy, Financial Markets Litigation and Enforcement Partner Matthew Kluchenek, and Financial Markets and Funds Partner Stephen Morris.
To learn more, contact Rachel Hernandez.
