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The Basics of Enforcement Actions and Civil Litigation Related to Swaps, Futures, and Options


Tuesday, April 17, 2018 | 9:00 am - 12:00 pm

Prefer to view the live webcast? Please CLICK HERE.

CLE Credit
NY: 3.0 professional practice
NJ: 3.3 general
CA: 3.0 general
PA: 2.5 general

This live program provides transitional/non-transitional credit to all attorneys.

Live Program: Member: $229.00 | Nonmember: $329.00

Click Here to View Program Agenda & Faculty

Online Registration is now closed, but you may still register on-site.

This program is for those who may be involved with a Commodity Futures Trading Commission or Securities and Exchange Commission enforcement action or be a plaintiff or defendant in litigation regarding derivatives. It answers how enforcement actions are initiated by the Commodity Futures Trading Commission or the Securities and Exchange Commission and details the process for an enforcement action from start to finish. Private rights of action under the Commodity Exchange Act and related federal and state statutes are examined. This program also assesses the intersection between enforcement actions and civil litigation, top enforcement and litigation risks, and how to conduct an internal investigation.

This program is a must for anyone potentially involved with derivatives-related enforcement actions or litigation.

Program Chair: Gary E. Kalbaugh, Deputy General Counsel and Director, ING Financial Holdings Corp.

Sponsoring Association Committee: Futures and Derivatives Regulation | Robert M. McLaughlin, Chair

 

Where:
New York City Bar
42 West 44th St
New York, NY 10036

 

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Program
 

 
4/17/2018 9:00 AM
Thank you for registering. Your registration includes a "Printed Copy" of the program course materials. We encourage you to decline the printed materials and "Go Green" by selecting an electronic PDF download. If you select the PDF option you will NOT receive a printed copy of the course materials at the program. If you would like to view the materials during the program, you can either bring a portable electronic device such as a tablet or laptop or a printed copy of the materials. WI FI access will be available. TO DECLINE THE PRINTED MATERIALS, please click on the ADD tab.

9:00 AM - 12:00 PM