At the Futures Industry Association Law & Compliance (FIA L&C) Annual Conference, which was held virtually from October 7-9, Ryne Miller co-moderated a panel titled, “Enforcement: Recent Actions, Developments, Trends, and What it Means for You,” which provided an update on CFTC, DOJ, and exchange enforcement related to commodities and derivatives markets.
Katy McArthur presented on a panel titled, “CCO Reports and Risk Management Programs,” which discussed best practices with respect to chief compliance officer annual reports and the requirement that CFTC-registered swap dealers have and implement risk management programs.
The FIA L&C annual conference included more than 500 virtual attendees and three days of panels addressing the regulation of futures, derivatives and over-the-counter derivatives products.