Mezzanine Level – Upper Floor

Make sure to stop by the conference registration desk and pick up your Allen & Overy name badge and Davis Polk & Wardwell conference tote bag filled with L&C 2019 materials.

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Mezzanine Level – Upper Floor

Thurgood Marshall Ballroom

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Thurgood Marshall Ballroom

The CFTC Division Directors will provide insight as to their responsibilities, regulatory concerns and priorities.

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Thurgood Marshall Ballroom

Recent cases have shined a spotlight on manipulation and misappropriated information enforcement cases. Listen to a panel of experts provide an in-depth explanation of the legal standards, trends in enforcement, and recent case law.

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Thurgood Marshall Ballroom Foyer

Thurgood Marshall Ballroom

The NFA safeguards the integrity of the derivatives markets, protects investors and ensures its members meet their regulatory responsibilities.  Come meet key people at the NFA, learn what they do to meet the NFA’s critical mission, and find out what the NFA has in store for the coming year.

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Thurgood Marshall Ballroom

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Marriott Ballroom

Mezzanine Level – Upper Floor

Make sure to stop by the conference registration desk and pick up your Allen & Overy name badge and Davis Polk & Wardwell conference tote bag filled with L&C 2019 materials.

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Thurgood Marshall Ballroom Foyer

Thurgood Marshall Ballroom

New CFTC Commissioners Dan Berkovitz and Dawn Stump discuss their priorities.

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Exhibit Hall C- Lower Level

Visit our diverse table top exhibit area and explore what our exhibitors are showcasing at L&C 2019.

Current Exhibitors:

Lincoln Ballroom 1

Cross border regulation and market impact face critical tests and reviews. This panel will discuss the practical impacts to U.S. market participants of Brexit, MiFID II, CFTC actions on cross-border regulation of CCPs, concepts in Chairman Giancarlo’s Cross Border White Paper, and more. 

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Lincoln Ballroom 2

What data and reports are you sending and what’s required for FCMs, SDs, CTAS, CPOS and other financial firms? How can you protect or keep confidential any such data provided to an agency? What measures/policies must your firm have in the event of a breach by the agency or even your firm? What other risks may exists? What is GDPR and can you get around it?

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Lincoln Ballroom 3

Exchanges have their own rule enforcement priorities, matters and penalties. What is the impact of exchange settlements on CFTC parallel or follow-on actions? Who better to tell you about their  approach then exchange and CFTC enforcement personnel? Find out what’s new in exchange enforcement matters as well what matters you will see in the future.

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Lincoln Ballroom 4

It always helps to understand the basics. Come learn about the key aspects of being an FCM: regulatory framework, market structure, risk management program, chief compliance officer obligations, documentation, recordkeeping and reporting, and customer asset protection.

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Exhibit Hall & Attendee Lounge

Lincoln Ballroom 1

Market participants have long lived with disparate regulations from the SEC and CFTC, but should they have to?  This panel will discuss issues presented to the SEC and CFTC for potential harmonization and cooperation such as security-based swaps regulation, portfolio margining, and recordkeeping, as well as the prospects for an amicable reconciliation.   

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Lincoln Ballroom 3

Building an effective surveillance program has its challenges, and often the ‘effectiveness’ of the program is determined in hindsight after an issue has already occurred. Ineffective surveillance may lead to allegations of inadequate supervision. From challenges relating to calibration of automated reports, and conducting manual sampling reviews, to challenges around addressing problematic trading activity and demonstrating appropriate supervision, this panel will take a practical look at building an effective surveillance program and answer the questions of why, what, and how to surveil.  

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Lincoln Ballroom 2

Dodd Frank regulations implemented in the wake of the financial crisis have had a number of unintended consequences on end user firms, ranging from impacting market liquidity and limiting hedging, to additional margin and clearing requirements, as well as potential onerous capital requirements. 

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Margaret Brennan has reported on politics, international affairs, and global markets for nearly two decades. Currently the moderator of CBS News’ Face the Nation and the network’s senior foreign affairs correspondent, she is one of the most visible faces in political news today and only the second-ever female host of the 63-year-old program. Brennan focuses on offering a fact-based review of the day’s biggest ongoing news as well as breaking stories, and draws on her extensive global experience to provide an unbiased, big-picture look at the issues that matter now. She skillfully connects waves passing through Washington to larger global tides turning and remaking culture, politics, the global economy, and more.

Lincoln Ballroom 3

Many people are lauding the advent of blockchain as the solution to industry problems. What exactly can blockchain do as a practical matter in the industry? What are the regulatory issues to implementing such proposed solutions? Does the industry even have problems that need to be solved by blockchain?

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Lincoln Ballroom 1

Even the best laid plans are subject to failure, that includes your compliance plans. Learn how to design and implement compliance testing and monitoring to make sure your compliance plans are doing what they should as well as learn what regulators expect to see in your compliance testing and monitoring programs.

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Lincoln Ballroom 2

This session will review a potpourri of issues related to managed money through a review of CFTC, NFA and SEC initiatives that impact CPOs and CTAs, including the SEF and Part 4 rule proposals, position aggregation rules and Ownership and Control Reports (OCR), recent no-action letters, NFA’s new internal controls requirement, NFA exam priorities, regulatory change wish list and other areas of interest.

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Lincoln Ballroom 4

Expansion of Criminal Liability to Non-Traders: Legal Issues Presented by U.S. v. Jitesh Thakkar

Recently the DOJ prosecuted the owner of a software company for providing software used by “Flash Crash” trader Navinder Sarao. Although the DOJ failed to obtain a conviction, the legal issues raised by the prosecution will have an important and lasting impact. What liability do non-traders have for trading activity by traders they assist? Can a non-trader’s knowledge of the law or the trading industry be used to prove constructive knowledge of criminal activity?
 

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Exhibit Hall & Attendee Lounge

Lincoln Ballroom 1

This panel will provide a brief view of the technical distinctions between different types of cryptoassets, explaining their purposes and technical characteristics and discuss how different regulators classify cryptoassets for the purpose of applying existing laws and regulations. The panel will also explore how judicial decisions are beginning to impact the regulation of cryptoassets in the United States and relevant legislative initiatives worldwide.

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Lincoln Ballroom 2

Market participants need to understand their requirements under a veritable alphabet soup of obligations. What are AML requirements in a cross- border world: whose rules apply and how do you make everyone happy? What exactly do you have to do with an OFAC blocked account?  How do you implement FinCEN’s CDD requirements? This panel will discuss the answers to these questions, and more.

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Lincoln Ballroom 3

Although remakes in the movie industry are quite popular, they can be quite disruptive to regulated financial markets. What would the CFTC’s proposed amendment to swaps execution and SEF rules mean to the market and its participants? Do we really need this rule re-make?

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Lincoln Ballroom 4

Exhibit Hall & Attendee Lounge

Mezzanine Level – Upper Floor

Make sure to stop by the conference registration desk and pick up your Allen & Overy name badge and Davis Polk & Wardwell conference tote bag filled with L&C 2019 materials.

star_border Sponsored by:

Thurgood Marshall Ballroom Foyer

Thurgood Marshall Ballroom

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Exhibit Hall C- Lower Level

Visit our diverse table top exhibit area and explore what our exhibitors are showcasing at L&C 2019.

Current Exhibitors:

Lincoln Ballroom 1

The regulatory change environment appears to be in a constant state of expansion and it’s hard for anyone to keep up. This panel of experts will help you find your away around some of the major regulatory initiatives both hidden in plain sight and on the distant horizon. Topics will include Digital Assets, EMIR Refit, U.S. advances in privacy regulation, the EU’s Investment Firm Review, ongoing Dodd-Frank related reform out of both the CFTC and SEC and, of course, the cross border impact these initiatives will have on our day to day.

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Lincoln Ballroom 3

Use of social media is becoming an ever-increasing part of the practice of law. But be careful! Ethics pitfalls abound in social media. Come learn what to not to do when you post or tweet.  

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Lincoln Ballroom 2

Failures in supervision has become a prevalent focus in more enforcement cases these days. This means diligent supervision is not optional in our current regulatory environment. But how exactly does one effectively supervise in order to avoid sanctions, fines or reputational damage? This panel will discuss supervisory best practices, lessons learned and guidance available to assist you in meeting your supervision obligations.

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 Exhibit Hall & Attendee Lounge

Lincoln Ballroom 1

Uncleared swaps carry the burden of a number of challenges such as initial margin requirements, capital issues, inconsistent global regulation. Experts on this panel will explain what these challenges are, what they mean to the industry, and what can be done to fix them.

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Lincoln Ballroom 3

How do you respond to a regulatory audit or inquiry? How do you conduct an internal investigation? This panel will discuss best practices to handle these every day, real-life dramas, including when you've been subject to a cyber attack.

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Lincoln Ballroom 2

There can be no doubt about the importance of the role CCPs play in today’s futures and swaps markets. Given this central role, CCP risk management and resiliency are essential. This panel will discuss the key characteristics of safe and sound CCPs as well as discuss what additional measures the industry should be advocating for.

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Exhibit Hall & Attendee Lounge