2020 Member Regulatory Workshops—Chicago

NFA will hold a Member regulatory workshop at Convene on West Monroe in Chicago, Ill. on February 27, 2020. During the workshop, CFTC staff, NFA Board members and NFA staff will discuss recent initiatives at NFA and developments in cybersecurity, among other topics.

Date:

Thursday, February 27, 2019

Time:

Session 1: Futures Compliance Regulatory Session
9:00 a.m. — 10:30 a.m. (Registration begins at 8:00 a.m.)

Session 2: General Topics
10:45 a.m. — 2:50 p.m. (Registration begins at 11:00 a.m.)

Location:

Convene on West Monroe
311 West Monroe Street
Chicago, Ill. 60606

 Agenda (subject to change):

Session 1: Futures Compliance Regulatory Session

9:00 a.m. - 9:10 a.m.

Welcome

9:10 a.m. - 9:45 a.m.

Recent Rulemaking

9:45 a.m. - 9:55 a.m.

CPO Internal Controls

9:55 a.m. - 10:30 a.m.

Common Exam Findings

10:30 a.m. - 10:45 a.m.

Break

Session 2: General Topics

10:45 a.m. - 11:15 a.m.

Remarks from Josh Sterling, Director, DSIO, CFTC

11:15 a.m. - 12:15 p.m.

Cybersecurity

12:15 p.m. - 1:05 p.m.

Break

1:05 p.m. - 1:25 p.m.

Swaps Proficiency Requirements

1:25 p.m. - 2:10 p.m.

General Compliance Topics

  • Trading Review
  • Communications & Surveillance
  • Recordkeeping
  • Common Exam Findings

2:10 p.m. - 2:30 p.m.

BASIC Overview

2:30 p.m. - 2:50 p.m.

Q&A