IIT Chicago-Kent College of Law presents the 6th Annual

Registration Fee
Early Bird Registration Fee (per person).............................................................. $405
(Until October 10, 2014)
After October 10, 2014...............................................................................................$445
Government & Alumni Rate.................................................................................... $335
Name (please print)
Professional Title
IIT Chicago-Kent College of Law
PAID
Lawyers and Compliance Officers
Chicago, IL
Permit No. 7706
Online: cle.kentlaw.edu
Mail: Office of Continuing Legal & Professional Education
IIT Chicago-Kent College of Law
565 West Adams St.
Chicago, IL 60661-3691
Phone: (312) 906-5090
For
Non-Profit Org
U.S. Postage
Registration Form: Futures & Derivatives
Friday, October 17, 2014
3 Easy Ways to Register
Why
6th Annual Conference
on Futures & Derivatives
It is a time of new rules and continuous, evolving, sometimes
confusing change. We hope you can join us for a day of practical
and informed discussion on the most recent legal, regulatory
and enforcement developments affecting futures and derivatives
practice.
An annual practical update on recent legal,
regulatory, and enforcement developments for
lawyers and compliance officers.
Program at a Glance
Firm/Agency
Zip
q Please check here if you are an IL attorney. IL ARDC #
Payment Information
q Payment by check. Amount enclosed $
(Make check payable to: IIT Chicago-Kent College of Law)
Registration form must accompany payment. Registration will not
be accepted unless submitted with payment.
q Payment by credit card. Amount enclosed $__________________
q VISA q MasterCard
q American Express q Discover
Signature
Exp. Date
4:15p.m. Cocktail & Networking Reception
IL MCLE Credit
6.0 hours, including 1.0 hour of professionalism credit
(pending final approval)
Friday, October 17, 2014
2:15p.m.-4:15p.m. Hot Topics in Compliance
6th Annual Conference on
Futures & Derivatives
1:00p.m.-2:00p.m. Ethical Issues in Hiring Traders or Brokers
Lawyers
Security Code
This conference is presented with the
generous support of Thompson Coburn LLP
12:00p.m.-1:00p.m. Lunch (on your own)
Fax
Email
Card #
10:30a.m.-12:00p.m. Enforcement Panel Update
565 West Adams Street
Chicago, Illinois 60661
Telephone
State
Continuing Legal Education
City Friday, October 17, 2014
9:00a.m.-10:30a.m. NFA Hot Topics and Current
Developments
Address
presents the
Continuing Legal Education
Registration Fee
Early Bird Registration Fee (per person).............................................................. $405
(Until October 10, 2014)
After October 10, 2014...............................................................................................$445
Government & Alumni Rate.................................................................................... $335
Professional Title
Firm/Agency
Address
Telephone
State
Zip
PAID
Why
6th Annual Conference
on Futures & Derivatives
It is a time of new rules and continuous, evolving, sometimes
confusing change. We hope you can join us for a day of practical
and informed discussion on the most recent legal, regulatory
and enforcement developments affecting futures and derivatives
practice.
An annual practical update on recent legal,
regulatory, and enforcement developments for
lawyers and compliance officers.
Program at a Glance
Friday, October 17, 2014
9:00a.m.-10:30a.m. NFA Hot Topics and Current
Developments
10:30a.m.-12:00p.m. Enforcement Panel Update
Fax
This conference is presented with the
generous support of Thompson Coburn LLP
12:00p.m.-1:00p.m. Lunch (on your own)
Email
Attorney Registration #
1:00p.m.-2:00p.m. Ethical Issues in Hiring Traders and
Brokers
If Chicago-Kent College of Law Alumni, list month and year of graduation: Month_____Year_____
2:15p.m.-4:15p.m. Hot Topics in Compliance
qPlease check here if you have any special needs and a CLE staff member will contact you.
4:15p.m.-5:15p.m. Cocktail & Networking Reception
Card #
Security Code
Signature
Exp. Date
6.0 hours, including 1.0 hour of professionalism credit
(pending final approval)
565 West Adams Street
Chicago, Illinois 60661
q Payment by credit card. Amount enclosed $__________________
q VISA q MasterCard
q American Express q Discover
IL MCLE Credit
Continuing Legal Education
Payment Information
q Payment by check. Amount enclosed $_ ____________________
(Make check payable to: IIT Chicago-Kent College of Law)
Registration form must accompany payment. Registration will not be accepted
unless submitted with payment
presents the
Friday, October 17, 2014
City IIT Chicago-Kent College of Law
6th Annual Conference on
Futures & Derivatives
Name (please print)
Lawyers and Compliance Officers
Chicago, IL
Permit No. 7706
Online: cle.kentlaw.edu
Mail: Office of Continuing Legal & Professional Education
IIT Chicago-Kent College of Law
565 West Adams St.
Chicago, IL 60661-3691
Phone: (312) 906-5090
For
Non-Profit Org
U.S. Postage
Registration Form: Futures & Derivatives
Friday, October 17, 2014
3 Easy Ways to Register
Continuing Legal Education
Conference Speakers
Program Schedule
Richard T. Reibman
Partner, Thompson Coburn LLP
Adjunct Professor in Financial
Services Law, IIT Chicago-Kent
College of Law
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures Trading
Commission
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Richard J. Horgan
Executive Vice President & CFO
Rosenthal Collins Group LLC
Patricia Donahue
Senior Vice President, Chief
Compliance Officer, & Regulatory
Counsel, Rosenthal Collins Group LLC
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and General Counsel
ABN AMRO Clearing Chicago LLC
Vivien C. Gross
Clinical Professor of Law
IIT Chicago-Kent College of Law
Clifford C. Histed
Deputy Chief, Securities & Commodities
Fraud Section, United States Attorney
Office for the Northern District of Illinois
Tracey Hunt
Associate Director, Compliance
National Futures Association
Marc Nagel
Consultant
Marc Nagel Consulting
Jennifer Sunu
Director, Compliance
National Futures Association
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
Kurt Windeler
Director, Market Regulation
IntercontinentalExchange, Inc.
Futures & Derivatives Conference
Advisory Board
Richard T. Reibman
Conference Chairman
Partner, Thompson Coburn LLP
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Rosemary C. Hollinger
Deputy Director, Division of
Enforcement, U.S. Commodity
Futures Trading Commission
Margaret Blade
Senior Enforcement Counsel
CME Group
Marc Nagel
Consultant
Marc Nagel Consulting
Patricia Donahue
Senior Vice President,
Chief Compliance Officer,
and Regulatory Counsel
Rosenthal Collins Group LLC
Valerie C. Perera
Director, Office of Continuing Legal
& Professional Education
IIT Chicago-Kent College of Law
Jennifer Sunu
Director, Compliance
National Futures Association
Friday, October 17, 2014
8:00 a.m.–8:55 a.m.
Registration
8:55 a.m.–9:00 a.m.
Welcome & Announcements
9:00 a.m.–10:30 a.m.
NFA Hot Topics and Current
Developments
• Customer protection rules for FCMs
• Additional filing requirements for
FCMs and FDMs
• Risk management policies
and procedures
• Firm-specific disclosures
• Annual CCO reports
• Electronic funding of customer
accounts
• Bylaw 1101 for customer
accounts
• CPO/CTA issues
• Changes to pool quarterly
reports and CTA-PR reporting
• CPO delegation
• Status of capital requirements
for CPOs and CTAs
• Late disciplinary disclosure fees
• Changes to NFA’s enhanced
supervision rule
• Recent disciplinary cases
• Trends in exam findings
T
racey Hunt
Associate Director, Compliance
National Futures Association
Jennifer Sunu
Director, Compliance
National Futures Association
General Information
10:30 a.m.–12:00 p.m.
Enforcement Panel Update
This panel will discuss recent
enforcement and SRO regulatory
developments, including such
topics as: noteworthy enforcement
actions, self-trade prevention, and
OCR updates.
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Clifford C. Histed
Deputy Chief, Securities &
Commodities Fraud Section
United States Attorney Office for
the Northern District of Illinois
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures
Trading Commission
Kurt Windeler
Director, Market Regulation
IntercontinentalExchange, Inc.
12:00 p.m.–1:00 p.m.
Lunch
(on your own)
1:00 p.m.–2:00 p.m.
Ethical Issues in Hiring
Traders and Brokers
• Managing employment restrictions
• Protecting trade secrets
• Dealing with unrepresented parties
Vivien C. Gross
Clinical Professor of Law
IIT Chicago-Kent College of Law
Marc Nagel
Consultant
Mark Nagel Consulting
Richard T. Reibman
Partner, Thompson Coburn
LLP, Adjunct Professor in
Financial Services Law, IIT
Chicago-Kent College of Law
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
2:00 p.m.–2:15 p.m.
Break
2:15 p.m.–4:15 p.m.
Hot Topics in Compliance
This panel will discuss current
hot topics in compliance, with a
particular focus on compliance
issues relating to FCMs and
trade practices. Topics may
include the CFTC’s customer
protection and risk management
rules, transactions executed
off-exchange, and the FCM’s
duty to supervise customer and
proprietary trading.
Moderator: Patricia Donahue
Senior Vice President,
Chief Compliance Officer,
and Regulatory Counsel
Rosenthal Collins Group LLC
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and
General Counsel
ABN AMRO Clearing
Chicago LLC
Richard J. Horgan
Executive Vice President &
Chief Financial Officer
Rosenthal Collins Group LLC
4:15 p.m.–5:15 p.m.
Cocktail & Networking
Reception
Program Location
The conference will be held at
IIT Chicago-Kent College of
Law, 565 West Adams Street in
Chicago.
Confirmation of Registration
A letter of confirmation will be
emailed to the address given on
your registration form. If you do
not receive an email confirmation
after registering and before the
conference please contact the
Office of Continuing Legal &
Professional Education at
cle@kentlaw.iit.edu.
Confirmation of Attendance
A certificate of attendance will be
provided at registration.
Cancellations and Refunds
Written notification of cancellation
is required. A full tuition refund is
available if notification is received
prior to September 19; 25% will be
charged if notification is received
between September 19 and October
10, 2014. No refunds will be granted
after October 10, 2014.
MCLE Credit
IIT Chicago-Kent College of Law is
an accredited provider for IL & PA
MCLE. This conference is eligible for
6.0 hours on a “60 minute” credit hour;
includes 1.0 hour of professionalism/
ethics credit (pending final approval).
The actual number of approved hours
may vary. For additional information:
please call the Office of Continuing
Legal and Professional Education,
IIT Chicago-Kent College of Law,
(312) 906-5090, or send an email to
cle@kentlaw.iit.edu.
LL.M. in Financial Services Law
IIT Chicago-Kent’s Graduate
Program in Financial Services
Law offers full-time and part-time
students a unique opportunity
to broaden their understanding
of the principles underlying
increasingly complex systems and
services, deepen their knowledge
of particular topics of interest,
and enhance their skills as
professionals.
Deregulation of financial services,
tax reforms, globalization,
technology, and revolutionary
market forces have created an
environment in which attorneys
must broaden their knowledge and
sharpen their skills to handle the
range of legal and related issues
arising in the new and evolving
financial services industry. The
LL.M. program in Financial
Services Law educates legal
professionals to be effective in this
rapidly changing environment. It
emphasizes the global nature of
financial markets.
The LL.M. in Financial Services
Law is a full- or part-time degree
program for individuals holding
J.D., LL.B. or other non-US
first law degrees. Please call
(312) 906-5134 or email
intllm@kentlaw.iit.edu for more
information.
Conference Speakers
Program Schedule
Richard T. Reibman
Partner, Thompson Coburn LLP
Adjunct Professor in Financial
Services Law, IIT Chicago-Kent
College of Law
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures Trading
Commission
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Richard J. Horgan
Executive Vice President & CFO
Rosenthal Collins Group LLC
Patricia Donahue
Senior Vice President, Chief
Compliance Officer, & Regulatory
Counsel, Rosenthal Collins Group LLC
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and General Counsel
ABN AMRO Clearing Chicago LLC
Vivien C. Gross
Clinical Professor of Law
IIT Chicago-Kent College of Law
Clifford C. Histed
Deputy Chief, Securities & Commodities
Fraud Section, United States Attorney
Office for the Northern District of Illinois
Tracey Hunt
Associate Director, Compliance
National Futures Association
Marc Nagel
Consultant
Marc Nagel Consulting
Jennifer Sunu
Director, Compliance
National Futures Association
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
Kurt Windeler
Director, Market Regulation
IntercontinentalExchange, Inc.
Futures & Derivatives Conference
Advisory Board
Richard T. Reibman
Conference Chairman
Partner, Thompson Coburn LLP
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Rosemary C. Hollinger
Deputy Director, Division of
Enforcement, U.S. Commodity
Futures Trading Commission
Margaret Blade
Senior Enforcement Counsel
CME Group
Marc Nagel
Consultant
Marc Nagel Consulting
Patricia Donahue
Senior Vice President,
Chief Compliance Officer,
and Regulatory Counsel
Rosenthal Collins Group LLC
Valerie C. Perera
Director, Office of Continuing Legal
& Professional Education
IIT Chicago-Kent College of Law
Jennifer Sunu
Director, Compliance
National Futures Association
Friday, October 17, 2014
8:00 a.m.–8:55 a.m.
Registration
8:55 a.m.–9:00 a.m.
Welcome & Announcements
9:00 a.m.–10:30 a.m.
NFA Hot Topics and Current
Developments
• Customer protection rules for FCMs
• Additional filing requirements for
FCMs and FDMs
• Risk management policies
and procedures
• Firm-specific disclosures
• Annual CCO reports
• Electronic funding of customer
accounts
• Bylaw 1101 for customer
accounts
• CPO/CTA issues
• Changes to pool quarterly
reports and CTA-PR reporting
• CPO delegation
• Status of capital requirements
for CPOs and CTAs
• Late disciplinary disclosure fees
• Changes to NFA’s enhanced
supervision rule
• Recent disciplinary cases
• Trends in exam findings
T
racey Hunt
Associate Director, Compliance
National Futures Association
Jennifer Sunu
Director, Compliance
National Futures Association
General Information
10:30 a.m.–12:00 p.m.
Enforcement Panel Update
This panel will discuss recent
enforcement and SRO regulatory
developments, including such
topics as: noteworthy enforcement
actions, self-trade prevention, and
OCR updates.
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Clifford C. Histed
Deputy Chief, Securities &
Commodities Fraud Section
United States Attorney Office for
the Northern District of Illinois
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures
Trading Commission
Kurt Windeler
Director, Market Regulation
IntercontinentalExchange, Inc.
12:00 p.m.–1:00 p.m.
Lunch
(on your own)
1:00 p.m.–2:00 p.m.
Ethical Issues in Hiring
Traders and Brokers
• Managing employment restrictions
• Protecting trade secrets
• Dealing with unrepresented parties
Vivien C. Gross
Clinical Professor of Law
IIT Chicago-Kent College of Law
Marc Nagel
Consultant
Mark Nagel Consulting
Richard T. Reibman
Partner, Thompson Coburn
LLP, Adjunct Professor in
Financial Services Law, IIT
Chicago-Kent College of Law
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
2:00 p.m.–2:15 p.m.
Break
2:15 p.m.–4:15 p.m.
Hot Topics in Compliance
This panel will discuss current
hot topics in compliance, with a
particular focus on compliance
issues relating to FCMs and
trade practices. Topics may
include the CFTC’s customer
protection and risk management
rules, transactions executed
off-exchange, and the FCM’s
duty to supervise customer and
proprietary trading.
Moderator: Patricia Donahue
Senior Vice President,
Chief Compliance Officer,
and Regulatory Counsel
Rosenthal Collins Group LLC
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and
General Counsel
ABN AMRO Clearing
Chicago LLC
Richard J. Horgan
Executive Vice President &
Chief Financial Officer
Rosenthal Collins Group LLC
4:15 p.m.–5:15 p.m.
Cocktail & Networking
Reception
Program Location
The conference will be held at
IIT Chicago-Kent College of
Law, 565 West Adams Street in
Chicago.
Confirmation of Registration
A letter of confirmation will be
emailed to the address given on
your registration form. If you do
not receive an email confirmation
after registering and before the
conference please contact the
Office of Continuing Legal &
Professional Education at
cle@kentlaw.iit.edu.
Confirmation of Attendance
A certificate of attendance will be
provided at registration.
Cancellations and Refunds
Written notification of cancellation
is required. A full tuition refund is
available if notification is received
prior to September 19; 25% will be
charged if notification is received
between September 19 and October
10, 2014. No refunds will be granted
after October 10, 2014.
MCLE Credit
IIT Chicago-Kent College of Law is
an accredited provider for IL & PA
MCLE. This conference is eligible for
6.0 hours on a “60 minute” credit hour;
includes 1.0 hour of professionalism/
ethics credit (pending final approval).
The actual number of approved hours
may vary. For additional information:
please call the Office of Continuing
Legal and Professional Education,
IIT Chicago-Kent College of Law,
(312) 906-5090, or send an email to
cle@kentlaw.iit.edu.
LL.M. in Financial Services Law
IIT Chicago-Kent’s Graduate
Program in Financial Services
Law offers full-time and part-time
students a unique opportunity
to broaden their understanding
of the principles underlying
increasingly complex systems and
services, deepen their knowledge
of particular topics of interest,
and enhance their skills as
professionals.
Deregulation of financial services,
tax reforms, globalization,
technology, and revolutionary
market forces have created an
environment in which attorneys
must broaden their knowledge and
sharpen their skills to handle the
range of legal and related issues
arising in the new and evolving
financial services industry. The
LL.M. program in Financial
Services Law educates legal
professionals to be effective in this
rapidly changing environment. It
emphasizes the global nature of
financial markets.
The LL.M. in Financial Services
Law is a full- or part-time degree
program for individuals holding
J.D., LL.B. or other non-US
first law degrees. Please call
(312) 906-5134 or email
intllm@kentlaw.iit.edu for more
information.
Conference Speakers
Program Schedule
Richard T. Reibman
Partner, Thompson Coburn LLP
Adjunct Professor in Financial
Services Law, IIT Chicago-Kent
College of Law
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures Trading
Commission
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Richard J. Horgan
Executive Vice President & CFO
Rosenthal Collins Group LLC
Patricia Donahue
Senior Vice President, Chief
Compliance Officer, & Regulatory
Counsel, Rosenthal Collins Group LLC
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and General Counsel
ABN AMRO Clearing Chicago LLC
Vivien C. Gross
Clinical Professor of Law
IIT Chicago-Kent College of Law
Clifford C. Histed
Deputy Chief, Securities & Commodities
Fraud Section, United States Attorney
Office for the Northern District of Illinois
Tracey Hunt
Associate Director, Compliance
National Futures Association
Marc Nagel
Consultant
Marc Nagel Consulting
Jennifer Sunu
Director, Compliance
National Futures Association
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
Kurt Windeler
Director, Market Regulation
IntercontinentalExchange, Inc.
Futures & Derivatives Conference
Advisory Board
Richard T. Reibman
Conference Chairman
Partner, Thompson Coburn LLP
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Rosemary C. Hollinger
Deputy Director, Division of
Enforcement, U.S. Commodity
Futures Trading Commission
Margaret Blade
Senior Enforcement Counsel
CME Group
Marc Nagel
Consultant
Marc Nagel Consulting
Patricia Donahue
Senior Vice President,
Chief Compliance Officer,
and Regulatory Counsel
Rosenthal Collins Group LLC
Valerie C. Perera
Director, Office of Continuing Legal
& Professional Education
IIT Chicago-Kent College of Law
Jennifer Sunu
Director, Compliance
National Futures Association
Friday, October 17, 2014
8:00 a.m.–8:55 a.m.
Registration
8:55 a.m.–9:00 a.m.
Welcome & Announcements
9:00 a.m.–10:30 a.m.
NFA Hot Topics and Current
Developments
• Customer protection rules for FCMs
• Additional filing requirements for
FCMs and FDMs
• Risk management policies
and procedures
• Firm-specific disclosures
• Annual CCO reports
• Electronic funding of customer
accounts
• Bylaw 1101 for customer
accounts
• CPO/CTA issues
• Changes to pool quarterly
reports and CTA-PR reporting
• CPO delegation
• Status of capital requirements
for CPOs and CTAs
• Late disciplinary disclosure fees
• Changes to NFA’s enhanced
supervision rule
• Recent disciplinary cases
• Trends in exam findings
T
racey Hunt
Associate Director, Compliance
National Futures Association
Jennifer Sunu
Director, Compliance
National Futures Association
General Information
10:30 a.m.–12:00 p.m.
Enforcement Panel Update
This panel will discuss recent
enforcement and SRO regulatory
developments, including such
topics as: noteworthy enforcement
actions, self-trade prevention, and
OCR updates.
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Clifford C. Histed
Deputy Chief, Securities &
Commodities Fraud Section
United States Attorney Office for
the Northern District of Illinois
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures
Trading Commission
Kurt Windeler
Director, Market Regulation
IntercontinentalExchange, Inc.
12:00 p.m.–1:00 p.m.
Lunch
(on your own)
1:00 p.m.–2:00 p.m.
Ethical Issues in Hiring
Traders and Brokers
• Managing employment restrictions
• Protecting trade secrets
• Dealing with unrepresented parties
Vivien C. Gross
Clinical Professor of Law
IIT Chicago-Kent College of Law
Marc Nagel
Consultant
Mark Nagel Consulting
Richard T. Reibman
Partner, Thompson Coburn
LLP, Adjunct Professor in
Financial Services Law, IIT
Chicago-Kent College of Law
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
2:00 p.m.–2:15 p.m.
Break
2:15 p.m.–4:15 p.m.
Hot Topics in Compliance
This panel will discuss current
hot topics in compliance, with a
particular focus on compliance
issues relating to FCMs and
trade practices. Topics may
include the CFTC’s customer
protection and risk management
rules, transactions executed
off-exchange, and the FCM’s
duty to supervise customer and
proprietary trading.
Moderator: Patricia Donahue
Senior Vice President,
Chief Compliance Officer,
and Regulatory Counsel
Rosenthal Collins Group LLC
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and
General Counsel
ABN AMRO Clearing
Chicago LLC
Richard J. Horgan
Executive Vice President &
Chief Financial Officer
Rosenthal Collins Group LLC
4:15 p.m.–5:15 p.m.
Cocktail & Networking
Reception
Program Location
The conference will be held at
IIT Chicago-Kent College of
Law, 565 West Adams Street in
Chicago.
Confirmation of Registration
A letter of confirmation will be
emailed to the address given on
your registration form. If you do
not receive an email confirmation
after registering and before the
conference please contact the
Office of Continuing Legal &
Professional Education at
cle@kentlaw.iit.edu.
Confirmation of Attendance
A certificate of attendance will be
provided at registration.
Cancellations and Refunds
Written notification of cancellation
is required. A full tuition refund is
available if notification is received
prior to September 19; 25% will be
charged if notification is received
between September 19 and October
10, 2014. No refunds will be granted
after October 10, 2014.
MCLE Credit
IIT Chicago-Kent College of Law is
an accredited provider for IL & PA
MCLE. This conference is eligible for
6.0 hours on a “60 minute” credit hour;
includes 1.0 hour of professionalism/
ethics credit (pending final approval).
The actual number of approved hours
may vary. For additional information:
please call the Office of Continuing
Legal and Professional Education,
IIT Chicago-Kent College of Law,
(312) 906-5090, or send an email to
cle@kentlaw.iit.edu.
LL.M. in Financial Services Law
IIT Chicago-Kent’s Graduate
Program in Financial Services
Law offers full-time and part-time
students a unique opportunity
to broaden their understanding
of the principles underlying
increasingly complex systems and
services, deepen their knowledge
of particular topics of interest,
and enhance their skills as
professionals.
Deregulation of financial services,
tax reforms, globalization,
technology, and revolutionary
market forces have created an
environment in which attorneys
must broaden their knowledge and
sharpen their skills to handle the
range of legal and related issues
arising in the new and evolving
financial services industry. The
LL.M. program in Financial
Services Law educates legal
professionals to be effective in this
rapidly changing environment. It
emphasizes the global nature of
financial markets.
The LL.M. in Financial Services
Law is a full- or part-time degree
program for individuals holding
J.D., LL.B. or other non-US
first law degrees. Please call
(312) 906-5134 or email
intllm@kentlaw.iit.edu for more
information.
Conference Speakers
Program Schedule
Richard T. Reibman
Partner, Thompson Coburn LLP
Adjunct Professor in Financial
Services Law, IIT Chicago-Kent
College of Law
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures Trading
Commission
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Richard J. Horgan
Executive Vice President & CFO
Rosenthal Collins Group LLC
Patricia Donahue
Senior Vice President, Chief
Compliance Officer & Regulatory
Counsel, Rosenthal Collins Group LLC
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and General Counsel
ABN AMRO Clearing Chicago LLC
Tracey Hunt
Associate Director, Compliance
National Futures Association
Marc Nagel
Consultant
Marc Nagel Consulting
Jennifer Sunu
Director, Compliance
National Futures Association
Vivien C. Gross
Clinical Professor of Law
IIT Chicago-Kent College of Law
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
Clifford C. Histed
Assistant U.S. Attorney
U.S. Department of Justice
Kurt Windeler
Director, Market Regulation
InterncontinentalExchange, Inc.
Futures & Derivatives Conference
Advisory Board
Richard T. Reibman
Conference Chairman
Partner, Thompson Coburn LLP
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Rosemary C. Hollinger
Deputy Director, Division of
Enforcement, U.S. Commodities
Futures Trading Commission
Margaret Blade
Senior Enforcement Counsel
CME Group
Marc Nagel
Consultant
Marc Nagel Consulting
Patricia Donahue
Senior Vice President
Chief Compliance Officer &
Regulatory Counsel
Rosenthal Collins Group LLC
Valerie C. Perera
Director, Office of Continuing Legal
& Professional Education
IIT Chicago-Kent College of Law
Jennifer Sunu
Director, Compliance
National Futures Association
Friday, October 17, 2014
8:00 a.m.–8:55 a.m.
Registration
8:55 a.m.–9:00 a.m.
Welcome & Announcements
9:00 a.m.–10:30 a.m.
NFA Hot Topics and Current
Developments
• Customer protection rules for
FCMs
• Additional filing requirements
for FCMs and FCMs
• Risk management policies
and procedures
• Firm-specific disclosure
• Annual CCO reports
• Electronic funding of
customer accounts
• Bylaw 1101 for customer accounts
• CPO/CTA issues
• Changes to pool quality
reports and CTA-PR
reporting
• CPO delegation
• Status of capital requirements
for CPOs and CTAs
• Late Disciplinary Disclosure
Fees
• Changes to NFA’s Enhanced Supervision Rule
• Recent Disciplinary Cases
• Trends in Exam Findings
Tracey Hunt
Associate Director, Compliance
National Futures Association
Jennifer Sunu
Director, Compliance
National Futures Association
General Information
10:30 a.m.–12:00 p.m.
Enforcement Panel Update
This panel will discuss recent
enforcement and SRO regulatory
developments, including such
topics as: noteworthy enforcement
actions, self-trade prevention, and
OCR updates.
Greg Benbrook
Executive Director, Investigations
Market Regulation Department
CME Group
Clifford C. Histed
Deputy Chief
Securities & Commodities
Fraud Section, United States
Attorney Office for the
Northern District of Illinois
Rosemary C. Hollinger
Deputy Director
Division of Enforcement
U.S. Commodity Futures
Trading Commission
Kurt Windeler
Director, Market Regulation
InterncontinentalExchange, Inc.
12:00 p.m.–1:00 p.m.
Lunch
(on your own)
1:00 p.m.–2:00 p.m.
Ethical Issues in Hiring
Traders and Brokers
•Managing employment
restrictions
•Protecting trade secrets
•Dealing with unrepresented
parties
ivien C. Gross
V
Clinical Professor of Law
IIT Chicago-Kent College of Law
Marc Nagel
Consultant
Mark Nagel Consulting
Richard T. Reibman
Partner, Thompson Coburn
LLP, Adjunct Professor in
Financial Services Law,
IIT Chicago-Kent College of Law
Andrew Vrabel
Executive Director,
Global Head of Investigations
Market Regulation Department
CME Group
2:00 p.m.–2:15 p.m.
Break
2:15 p.m.–4:15 p.m.
Hot Topics in Compliance
This panel will discuss current
hot topics in compliance, with a
particular focus on compliance
issues relating to FCMs and
trade practices. Topics may
include the CFTC’s customer
protection and risk management
rules, transactions executed
off-exchange, and the FCM’s
duty to supervise customer and
proprietary trading.
Program Location
Moderator: Patricia Donahue
Senior Vice President,
Chief Compliance Officer,
and Regulatory Counsel
Rosenthal Collins Group LLC
Confirmation of Registration
Lisa A. Dunsky
Counsel
Sidley Austin LLP
Maureen C. Guilfoile
Managing Director and
General Counsel
ABN AMRO Clearing
Chicago LLC
Richard J. Horgan
Executive Vice President &
Chief Financial Officer
Rosenthal Collins Group LLC
4:15 p.m.–5:15 p.m.
Cocktail & Networking
Reception
The conference will be held at
IIT Chicago-Kent College of
Law, 565 West Adams Street in
Chicago.
A letter of confirmation will be
emailed to the address given on
your registration form. If you do
not receive an email confirmation
after registering and before the
conference please contact the
Office of Continuing Legal &
Professional Education at
cle@kentlaw.iit.edu.
Confirmation of Attendance
A certificate of attendance will be
provided at registration.
Cancellations and Refunds
Written notification of cancellation
is required. A full tuition refund is
available if notification is received
prior to September 19; 25% will be
charged if notification is received
between September 19 and October
10, 2014. No refunds will be granted
after October 10, 2014.
MCLE Credit
IIT Chicago-Kent College of Law is
an accredited provider for IL & PA
MCLE. This conference is eligible for
6.0 hours on a “60 minute” credit hour;
includes 1.0 hour of professionalism/
ethics credit (pending final approval).
The actual number of approved hours
may vary. For additional information:
please call the Office of Continuing
Legal and Professional Education,
IIT Chicago-Kent College of Law,
(312) 906-5090, or send an email to
cle@kentlaw.iit.edu.
LL.M. in Financial Services Law
IIT Chicago-Kent’s Graduate
Program in Financial Services
Law offers full-time and part-time
students a unique opportunity
to broaden their understanding
of the principles underlying
increasingly complex systems and
services, deepen their knowledge
of particular topics of interest,
and enhance their skills as
professionals.
Deregulation of financial services,
tax reforms, globalization,
technology, and revolutionary
market forces have created an
environment in which attorneys
must broaden their knowledge and
sharpen their skills to handle the
range of legal and related issues
arising in the new and evolving
financial services industry. The
LL.M. program in Financial
Services Law educates legal
professionals to be effective in this
rapidly changing environment. It
emphasizes the global nature of
financial markets.
The LL.M. in Financial Services
Law is a full- or part-time degree
program for individuals holding
J.D., LL.B. or other non-US
first law degrees. Please call
(312) 906-5134 or email
intllm@kentlaw.iit.edu for more
information.
Registration Fee
Early Bird Registration Fee (per person).............................................................. $405
(Until October 10, 2014)
After October 10, 2014...............................................................................................$445
Government & Alumni Rate.................................................................................... $335
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PAID
Why
6th Annual Conference
on Futures & Derivatives
It is a time of new rules and continuous, evolving, sometimes
confusing change. We hope you can join us for a day of practical
and informed discussion on the most recent legal, regulatory
and enforcement developments affecting futures and derivatives
practice.
An annual practical update on recent legal,
regulatory, and enforcement developments for
lawyers and compliance officers.
Program at a Glance
Friday, October 17, 2014
9:00a.m.-10:30a.m. NFA Hot Topics and Current
Developments
10:30a.m.-12:00p.m. Enforcement Panel Update
Fax
This conference is presented with the
generous support of Thompson Coburn LLP
12:00p.m.-1:00p.m. Lunch (on your own)
Email
Attorney Registration #
1:00p.m.-2:00p.m. Ethical Issues in Hiring Traders and
Brokers
If Chicago-Kent College of Law Alumni, list month and year of graduation: Month_____Year_____
2:15p.m.-4:15p.m. Hot Topics in Compliance
qPlease check here if you have any special needs and a CLE staff member will contact you.
4:15p.m.-5:15p.m. Cocktail & Networking Reception
Card #
Security Code
Signature
Exp. Date
6.0 hours, including 1.0 hour of professionalism credit
(pending final approval)
565 West Adams Street
Chicago, Illinois 60661
q Payment by credit card. Amount enclosed $__________________
q VISA q MasterCard
q American Express q Discover
IL MCLE Credit
Continuing Legal Education
Payment Information
q Payment by check. Amount enclosed $_ ____________________
(Make check payable to: IIT Chicago-Kent College of Law)
Registration form must accompany payment. Registration will not be accepted
unless submitted with payment.
presents the
Friday, October 17, 2014
City IIT Chicago-Kent College of Law
6th Annual Conference on
Futures & Derivatives
Name (please print)
Lawyers and Compliance Officers
Chicago, IL
Permit No. 7706
Online: cle.kentlaw.edu
Mail: Office of Continuing Legal & Professional Education
IIT Chicago-Kent College of Law
565 West Adams St.
Chicago, IL 60661-3691
Phone: (312) 906-5090
For
Non-Profit Org
U.S. Postage
Registration Form: Futures & Derivatives
Friday, October 17, 2014
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Continuing Legal Education