A Brave New World: Effective Supervision and Compliance by CFTC and SEC Registrants in the New Business as Usual Environment
Katten will present the “A Brave New World: Effective Supervision and Compliance by CFTC and SEC Registrants in the New Business as Usual Environment” webinar at 10:30 a.m. (ET) on Thursday, June 18. This two-part session will explore regulatory and legal issues and solutions prompted by the mostly work-from-home environments of the last few months by employees of the Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), National Futures Association (NFA) and the Financial Industry Regulatory Authority (FINRA) registrants and members.
The first panel, “Lessons Learned and the Status of Regulatory Relief,” will feature Financial Markets and Funds practice attorneys James Brady, associate, Gary DeWaal, special counsel, and Rick Marshall, partner, alongside Mike Otten, Vice President, OTC Derivatives, NFA, and Bill Wollman, Executive Vice President, Head of Office of Financial and Operational Risk Policy, FINRA.
The second panel, “Best Practices and Challenges to Address Going Forward,” will be moderated by Wendy Cohen, co-chair of the Investment Management and Funds practice, and will include Financial Markets and Funds partners Chris Hennion, Carl Kennedy, Susan Light and Richard Marshall along with Trisha Sircar, a partner in the Privacy, Data and Cybersecurity practice.
Best practices for compliance and supervision as employees migrate back to their traditional offices as well as work from business continuity locations and their homes;
Status of no action and other relief granted to accommodate home working; and
What rules amendments might be necessary to accommodate new normal working situations.