Wednesday, April 27, 2016| 9:00 am – 12:00 pm
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The Commodity Futures Trading Commission regulates a multi-trillion dollar marketplace. The scope of its regulations make basic knowledge of the governing statute, the Commodity Exchange Act, essential for both lawyers with established practices in other areas of financial law, such as securities or banking law, and for lawyers seeking to develop a practice in derivatives law. This program gives all the basics a lawyer needs to be conversant in and familiar with the Commodity Exchange Act and the regulatory framework for futures, commodity options, swaps, and retail foreign exchange. Additionally, this program addresses which market participants need to register with the Commodity Futures Trading Commission, the treatment of derivatives in bankruptcy, and the requirement that futures be exclusively exchange-traded.
Live Program/Webcast/DVDs & CDs: $229 Member | $329 Nonmember
On-Demand: $179 Member | $279 Nonmember
Materials Only (No CLE Credit): $99 Member| $129 Nonmember
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Futures & Derivatives Committee Chair & Introductory Remarks
Robert M. McLaughlin
Fried, Frank, Harris, Shriver & Jacobson LLPFaculty
Paul M. Architzel
WilmerHaleManavinder S. Bains
Chief Compliance Officer of the Swap Dealer
BNY MellonIan Cuillerier
White & Case LLPThomas V. D’Ambrosio
Morgan, Lewis & Bockius LLPGuy Dempsey
Katten Muchin Rosenman LLPGeoffrey B. Goldman
Shearman & Sterling LLPJulian E. Hammar
Morrison & Foerster LLPRita M. Molesworth
Willkie Farr & Gallagher LLPIra A. Reid
Baker & McKenzie LLP -
9:00 am – 9:10 am
Welcoming Remarks
Robert McLaughlin
9:10 am – 10:00 am
The Commodity Futures Trading Commission (CFTC) &
its Jurisdiction
- Description of CFTC’s jurisdiction: futures, commodity options, swaps, & retail foreign exchange.
- Who are the registrants & what authority does the CFTC have over them?
- What is the scale & import of the portion of the economy regulated by the CFTC?
Paul M. Architzel, Ian Cuillerier & Rita M. Molesworth
10:00 am – 10:55 am The Regulation of Futures & Exchange-Traded Commodity Options
- The CFTC’s “exclusive” jurisdiction & what it means.
- The oligopoly of designated contract markets.
- Bankruptcy “safe harbors” for derivatives.
- Brief overview of the market’s regulatory architecture.
Manavinder S. Bains, Julian Hammar & Ira A. Reid
10:55 am – 11:00 am Break
11:00 am – 12:00 pm The Regulation of Swaps
- The Empire Strikes Backs: The CFTC’s rise from no jurisdiction over non-retail swaps post-Commodity Futures Modernization Act to jurisdiction over all but security-based swaps post-Dodd-Frank Act.
- How swaps trade & are regulated.
- What a practitioner needs to know: Key items to look out for with swaps.
Thomas V. D’Ambrosio, Guy Dempsey & Geoffrey B. Goldman
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NY: 3.0 professional practice
NJ: 3.3 general
CA: 3.0 general
PA: 2.5 general -
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* New York residents will be charged the New York sales tax for all audio visual purchases.
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Sponsorship Opportunities are Available! Please Contact:
Maricela Alfonso, Membership and CLE Relations Associate | (212) 382-6608 | MAlfonso@nycbar.org
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