|May 23, 2018|
|02:00 PM - 03:30 PM ET|
Partner Thomas V. D'Ambrosio will present at this Investment Adviser Association webinar.
Learn about developments in derivatives issues for the buy-side, including margin developments and FINRA Rule 4210, contractual modifications for insolvency matters, reporting requirements under MiFID II, and manufactured defaults involving credit default swaps. The panel will also discuss registration and compliance issues for commodity pool operators (CPOs) and commodity trading advisors (CTAs) related to principals and APs, exam waivers, reporting, and NFA Bylaw 1101. Hear about key findings in NFA exams and other top NFA initiatives affecting CPOs and CTAs.