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Law & Compliance Division Conference

Join us for L&C 2022 taking place April 27-29 in Washington, DC. The annual Law & Compliance Division Conference provides a forum to learn and discuss the legal and regulatory issues impacting the derivatives industry. L&C meets the needs of multiple levels of practitioners in the industry, from the new law firm associate to the Chief Compliance Officer. The program will cover recent legal and regulatory precedents affecting the futures, options and centrally cleared derivatives markets.

April 27, 2pm ET
Enforcement - CFTC, NFA & DOJ
Hear from the experts about what cases CFTC, NFA and DOJ enforcement have been bringing lately and get a sneak peek at the types of cases to expect in the future.
Moderator: 

  • Anne Termine, Partner, Bracewell

Speakers:

  • 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
Roundtable #2
Responding to Exchange Inquiries
Bring your questions on 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! 
Host:

  • Charles Mills, Partner, Bracewell