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Recent Developments in Regulatory Compliance and Enforcement

6.5 CLE Credit Hours Available (New York)
Transitional and Nontransitional

  6.5 CPE Credit Hours Available

Thursday, April 27, 2017
Global Financial Conference Center
New York



8:15 AM


Registration and Continental Breakfast




8:45 AM


Introduction and Welcoming Remarks



Bella Rozenberg, Senior Counsel, Head of Regulatory and Legal Practice Group, ISDA




9:00 AM


CFTC Regulatory Outlook - What is the Future of the SEF Trading?



  • Acting Chairman J. Christopher Giancarlo’s White Paper and the forthcoming changes
    to the SEF rules
  • Buy-side perspective
  • Sell-side perspective
  • SEF perspective



Moderator: Bella Rozenberg, Senior Counsel & Head of Regulatory and Legal Practice
Jon DeBord, Senior Vice President & Assistant General Counsel, Citi
Scott Fitzpatrick, CEO, Tradition SEF
Wendy Yun, Managing Director and Associate General Counsel, Goldman, Sachs & Co.




10:45 AM


Morning Break




11:00 AM


Recent CFTC Proposals - How Will They Affect the Markets?



The panel will highlight issues to be on the lookout for and compliance challenges, including:

  • CFTC Proposed Capital Requirements for Swap Dealers and Major Swap Participants
  • CFTC Position Limits Proposal
  • CFTC Proposed Rule 1.31
  • Federal Reserve Proposed Rule on Physical Commodities



Ryne V. Miller, Associate, Sullivan & Cromwell




12:15 PM






1:15 PM


CFTC Enforcement Priorities



  • Recent Developments in the CFTC Enforcement Litigation
  • Understanding CFTC and NFA Jurisdiction; Processes Used to Investigate CFTC/NFA Enforcement Matters
  • Industry Response to CFTC Investigations
    • Expanded CFTC authority
    • Fact-finding
    • Wells Notice



Paul G. Hayeck, Deputy Director, Division of Enforcement,
Commodity Futures Trading Commission

Anne M. Termine, Of Counsel, Covington & Burling LLP




2:30 PM


Afternoon Break




2:45 PM


CFTC and NFA Ongoing Compliance Requirements



  • Asset Mangers: maintaining an effective compliance program in a changing regulatory environment
  • Swap Dealers: ongoing compliance requirements and compliance challenges
    • Navigating the CFTC regulatory framework
    • Chief Compliance Officer responsibilities
    • Annual compliance report



Rosario Chiarenza, Executive Director, Head of Regulatory Reform Strategy,
Morgan Stanley & Co.
Carl E. Kennedy, Of Counsel, Gibson, Dunn & Crutcher LLP




 3:45 PM


The Legal and Regulatory Landscape under a Trump Administration



  • Changes to the Dodd-Frank Act
  • Possible changes to the CFTC rules
  • Possible changes to the Prudential regulations



Carl E. Kennedy, Of Counsel, Gibson, Dunn & Crutcher LLP




4:15 PM


Conference Concludes


Agenda is subject to change

$ 850 U.S. (member) / $ 975 U.S. (non-member)
*The invoice total must be paid in full - registration fees are net of tax and wire transfer fees are not included.

We suggest registering at least two weeks in advance to ensure your seat.

Please click here for the Conference Registration Form.


Global Financial Conference Center, 360 Madison Avenue (entrance on 45th Street), 17th Floor, New York, NY 10017 Phone: (212) 901-6000.  Please find a map to the venue here.




For more information regarding conferences or exhibition opportunities, please contact the ISDA conference department

at +1 212-901-6000  or e-mail