April 23, 2021

Volume XI, Number 113

Katten’s Annual Financial Markets Regulation Crystal Ball — A Look Back at 2020 and a Look Forward to 2021 [WEBINAR]

Katten Financial Markets Regulation attorneys invite you to join them in a lively discussion on US financial regulatory and enforcement developments — addressing securities, derivatives and cryptoassets and industry participants — from 2020 and a forecast for 2021.

This year’s event will feature Katten’s newest partner, Dan Davis, who until recently was the former general counsel at the Commodity Futures Trading Commission (CFTC). Other Katten speakers will include Gary DeWaal, James Brady, Kevin Foley, Carl Kennedy, Sue Light and Richard Marshall.


Topics will include:

•  Impacts of new leadership at the CFTC and the Securities and Exchange Commission (SEC)

•  CFTC implementation of recently adopted regulations

•  Implementation of new National Futures Association (NFA) compliance requirements for swap dealers

•  Latest cryptoasset regulatory and enforcement developments

•  Assessing the adequacy of Consolidated Audit Trail (CAT) compliance programs

•  New SEC rules on adviser advertising, mutual fund use of derivatives valuation and ETFs, and implementation of Reg BI and Form CRS

•  SEC’s enforcement activity related to disgorgement, statutes of limitations and aggressive use of the Compliance Rule