41st Annual Law & Compliance Division Conference

41st Annual Law & Compliance Division Conference


Futures Industry Association (FIA)
Location: Washington, DC

Corporate partner David S. Mitchell will speak on the panel “Asset Management / Buy Side Issues” at the 41st Annual Law & Compliance Division Conference, hosted by the Futures Industry Association (FIA). The panelists will discuss 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, and other areas of interest.

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