1-Hour Program

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Curtis A. Doty of Mayer Brown LLP will provide an overview of the principal external and internal business conduct obligations imposed on swap dealers.  He will focus in detail on best practices with respect to policies and procedures designed to comply with these requirements and mitigate risk, including a review recent relevant enforcement actions, relating to the following areas:

  • Obligations to furnish risk disclosure; scope of standardized risk disclosures and when they may need to be supplemented;
  • Identifying and disclosing material conflicts and incentives, including the pre-trade mid-market mark;
  • Pre-hedging practices and other uses of confidential information;
  • Hedging pitfalls: anti-manipulation and disruptive trading practices;
  • New product approvals process;
  • Documentation and legal risks, and the role of legal opinions; and
  • Prime brokerage and multi-participant transaction structures.

Program Level:  Overview

Intended Audience:  Corporate, securities, derivatives and financial services attorneys, compliance professionals, asset managers, investment advisers, trading firms, bankers and allied professionals involved in structuring, negotiating and executing swap agreements and other derivative products

Prerequisites: None

Advanced Preparation: None


Credit Details

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