At the Futures Industry Association Law & Compliance (FIA L&C) Annual Conference, which was held from May 8 to 10 in Washington, D.C., Ken Raisler moderated a panel titled, “There’s Another Sheriff in Town: Enforcement by Exchanges,” which provided an overview of exchanges’ rule enforcement priorities, as well as an update on new issues in exchange enforcement.
Katy McArthur presented on a panel titled, “True Detective: Audits, Inquiries & Investigations,” which discussed best practices with respect to internal investigations in response to a regulatory audit or inquiry, including a discussion of cyberattacks.
Ryne Miller presented on a panel titled, “SEC/CFTC Harmonization: Can this Marriage be Saved?,” which covered issues presented to the SEC and CFTC for potential harmonization and cooperation including security-based swaps regulation, portfolio margining, and recordkeeping.
The FIA L&C annual conference includes more than 900 attendees and three days of panels addressing the regulation of futures, derivatives and over-the-counter products.