Law and Compliance Division Conference
Firm partners Stephen M. Humenik and Clifford C. Histed will serve as panelists for FIA's Law and Compliance Division Conference.
Covid Update From NFA
8 October, 10:30-11:30 A.M. ET
Featuring Stephen M. Humenik
The worldwide pandemic changed virtually all aspects of people’s lives. This included how FCMs and swap dealers operated in a work from home environment. This panel will provide an overview of the regulatory relief that was needed and still may be needed by registrants. NFA will discuss the examination process in a remote environment and highlight supervision and other concerns, both old and new that have emerged during the pandemic. The panel will also discuss what the future may hold for supervision, including tools that registrants can use.
How to Respond to Exchange Inquiries: First, Don’t Panic!
9 October, 10:30-11:30 A.M. ET
Featuring Clifford C. Histed
An exchange has come knocking. What to do? This hands-on, interactive panel will draw on its industry and in-house experience to discuss the intricacies of exchange inquires and the considerations in responding to them.