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Recent Legal Developments on Securities and Derivatives Issues for Sell-Side and Buy-Side Market Participants

Presented by Katten Muchin Rosenman LLP
Seminar | July 27, 2016

Katten will host the "Recent Legal Developments on Securities and Derivatives Issues for Sell-Side and Buy-Side Market Participants" panel discussion on Wednesday, July 27 at 4:00 p.m. (ET). Wendy Cohen and Allison Yacker, co-chairs of the New York Financial Services group, will serve as moderators. The panelists include Financial Services attorneys Gary DeWaal, Michael Foley and Richard Marshall, Chicago Financial Services practice head Janet Angstadt, and Litigation and Dispute Resolution attorney David Goldberg. Panelists will address regulatory and legal developments on evolving matters such as:

  • Chief Compliance Officer Liability
  • Regulatory Update, Including:
    • Automated Trading
    • Registration and Other Issues: The Blackstreet Case and Private Equity
    • Latest Futures Developments: Block Trades, EFRPs, Position Limits and Insider Trading
    • Cybersecurity
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