Skip to Main Content

41st Annual FIA Law and Compliance Division Conference

Presented by the Futures Industry Association (FIA)
Speaking Engagement | May 8–10, 2019

Four Katten attorneys will participate in the FIA's 41st Annual FIA Law and Compliance Division Conference on Thursday, May 9. Financial Services partner Nathaniel Lalone will participate in the "Tearing Down the Cross-Border Wall" panel discussion at 9:00 a.m. Panelists will discuss the practical impacts to US market participants of Brexit, MiFID II, CFTC actions on cross-border regulations of CCPs, concepts in Chairman Giancarlo's Cross Border White Paper, and more.

Also at 9:00 a.m., Christian Kemnitz, co-head of the firm's Financial Services Litigation practice, will participate in "There's Another Sheriff in Town: Enforcement by Exchanges." The panel will discuss what's new in enforcement matters as well as what matters will be seen in the future.

Kevin Foley, a partner in the Financial Services practice, will moderate "The ABCs of FCMs," also taking place at 9:00 a.m. Panelists will discuss the key aspects of being an FCM: regulatory framework, market structure (or regulatory structure?), risk management program, chief compliance officer obligations, documentation, recordkeeping and reporting (audit trail), and customer asset protection.

At 2:00 p.m., Financial Services special counsel Gary DeWaal will participate in the "Expansion of Criminal Liability to Non-Traders: Legal Issues Presented by U.S. v. Jitesh Thakkar" panel discussion. The discussion will address the recent DOJ prosecution of the owner of a software company for providing software used by "Flash Crash" trader Navinder Sarao, and the legal issues raised by the prosecution that will have an important and lasting impact even though the DOJ failed to obtain a conviction. Panelists will discuss what liability non-traders have for trading activity by traders they assist, and if a non-trader’s knowledge of the law or the trading industry can be used to prove constructive knowledge of criminal activity.

3:45 p.m., Gary will moderate the "Taking the Cryptic Out of Cryptos – An Overview of the Current Regulatory Status and Litigation Involving Cryptoassets" panel discussion. The panel will provide a brief view of the technical distinctions between different types of cryptoassets, explaining their purposes and technical characteristics and discussing how different regulators classify cryptoassets for the purpose of applying existing laws and regulations. It will also explore how judicial decisions are beginning to impact the regulation of cryptoassets in the United States and relevant legislative initiatives worldwide.

For more information, click here.

Katten Websites   Careers  |  Alumni  |  Mobile Site
Contact Us   Offices  |  Media Center  |  People  |  Email
Legal Notices   Disclaimer  |  Privacy Notice  |  Cookie Notice  |  United Kingdom Notices  | Accessibility 
Attorney Advertisting. © 2019 Katten Muchin Rosenman LLP