Bracewell hosted the L&C 2022 which took place April 27-29 in Washington, DC. The annual Law & Compliance Division Conference provided a forum to learn and discuss the legal and regulatory issues impacting the derivatives industry. L&C met the needs of multiple levels of practitioners in the industry, from the new law firm associate to the Chief Compliance Officer. The program covered recent legal and regulatory precedents affecting the futures, options and centrally cleared derivatives markets.
April 27, 2pm ET
Enforcement - CFTC, NFA & DOJ
Experts discussed what cases CFTC, NFA and DOJ enforcement have been bringing lately and a sneak peek at the types of cases to expect in the future.
- Anne Termine, Partner, Bracewell
- Cynthia Cain Ioannacci, Associate General Counsel, NFA
- Vincent McGonagle, Acting Director, Division of Enforcement, CFTC
- Gregory Mocek, Partner, Allen & Overy
April 27, 4:30pm ET
Responding to Exchange Inquiries
Discussed the basics and best practices—learning the facts, containing the scope, interacting with exchange staff, written submissions, document production, defending witness interviews, understanding Business Conduct Committees—the Works!
- Charles Mills, Partner, Bracewell