transcript   Transcript

Derivatives-Related Regulatory Developments and Compliance Challenges

Recorded on: Feb. 1, 2018
Running Time: 01:18:49

Full Transcript:

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Taken from the Web Program Private Fund Regulatory Developments and Compliance Challenges 2018 Recorded January 2018 in New York

Derivatives-Related Regulatory Developments and Compliance Challenges [01:18:49]

  • NFA’s Exam Priorities for 2018
  • Surviving an NFA exam
  • Hot issues, including leverage ratios,, new recordkeeping requirements, outsourcing, cryptocurrency and cybersecurity
  • Position limits and position aggregation
  • Spoofing, layering and other prohibited trading activities

Philip Hinkle, Brendan R. Kalb, Regina G. Thoele

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Philip T. Hinkle and Kimberly R. Thomasson, Regulatory Developments and Challenges: Uncleared Swaps and TBAs
    Philip T. Hinkle
Philip Hinkle ~ Dechert LLP
Brendan R. Kalb ~ Morgan, Lewis & Bockius LLP
Regina G. Thoele ~ Senior Vice President, Compliance, NFA
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