Webinar - Hot Topics in CPO and CTA Regulation and
Tuesday, May 2, 2017
– 3:15 p.m. (ET)
panel will discuss key CFTC and NFA regulatory and compliance hot topics for
SEC-registered investment advisers also registered, or exempt from
registration, as commodity pool operators (CPOs) or commodity trading advisors (CTAs).
about the latest developments and best practices regarding:
- CPO and CTA registration
requirements and exemptions, including treatment of offshore funds and
- Compliance with CFTC and NFA
recordkeeping, reporting, disclosure, and marketing requirements.
- NFA Bylaw 1101 compliance and
- Preparing for and managing an NFA
L. Cushing, Director, Member Education, National Futures Association
- Cary J.
Meer, Partner, K&L Gates LLP
B. Patent, Of Counsel, K&L Gates LLP
M. Rohrbacher, Managing Director and Associate General Counsel, Nuveen
S. Botkin, Acting General Counsel, Investment Adviser Association, Moderator
Webinar Audio Platform
Audio for this webinar will be broadcast through the
internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email firstname.lastname@example.org if you have questions.
Click the "Register" button on this page.
Registration for the live webinar closes
on Monday, May 1, at noon ET.
IAA Members and IAA Associate Members: The live webinar and a link to the recording
are complimentary. (Registrations made on or before May 1 at noon ET are
automatically registered for both the live webinar and the recording.)
Non-Members: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.
For questions regarding this webinar, call (202)
293-4222 or email email@example.com.
About the Presenters
L. Cushing is a
Director of Compliance at National Futures Association (NFA). Ms. Cushing's
responsibilities include overseeing staff who conduct financial and compliance
examinations, investigations and financial surveillance of brokerage firms in
the commodity futures industry. Ms.
Cushing manages the design of the department's exam programs and is responsible
for the training of the examination staff.
She leads the Compliance Department’s Member education efforts, advises
Members on compliance issues, and presents at industry conferences. Ms. Cushing has served as a primary liaison
between NFA and the CFTC in the development of rules affecting CTAs and
CPOs. She is a Certified Public
Accountant, Certified Fraud Examiner and Certified Regulatory Compliance
Professional, having received this designation through the FINRA Institute at
The Wharton School of Business.
Meer is a
partner in K&L Gates’ Washington, D.C. and New York offices and a member of
the Investment Management and Hedge Fund practice groups. Ms. Meer has been
structuring private funds as limited liability companies, limited partnerships,
offshore corporations, common trust funds and business trusts, and preparing
disclosure documents and organizational documents for such entities since the
mid-1990s. Her clients include hedge
fund and private equity fund sponsors, as well as sponsors of funds-of-funds
and funds-of-one. Some of these managers are stand-alone entities and some are
part of large financial institutions. She also advises investment advisers, private fund managers, and
investment companies on compliance issues, including under the Investment
Advisers Act of 1940, whether their commodity interest-related trading or
advice would require them to register as commodity pool operators or commodity
trading advisors and regarding lobbyist registration and related matters. She also advises institutional investors in
connection with their investment in third-party private funds.
B. Patent is of
counsel to K&L Gates LLP in Washington, D.C. Mr. Patent joined K&L
Gates after serving more than 30 years with the CFTC, where his last position
was Deputy Director of a Division. Mr. Patent regularly counsels businesses
with respect to commodity interest trading compliance and the legal
requirements governing trading in over-the-counter derivatives and
exchange-traded futures, including both international and U.S. markets. His
clients include, among others, hedge funds, commodity trading advisors and
commodity pool operators.
|Christopher M. Rohrbacher is Managing Director and Associate General Counsel at Nuveen Investments, Inc. He focuses on matters relating to open-end and closed-end investment companies, and is responsible for all matters related to Nuveen’s registration as a commodity pool operator. Prior to joining Nuveen, Mr. Rohrbacher was an associate in the Investment Management Group at Skadden, Arps, Slate, Meagher & Flom LLP.
|Monique S. Botkin is Acting General Counsel of the Investment Adviser
Association. Prior to joining the IAA in February 2004, Ms. Botkin was an
associate in the financial services groups at Dechert LLP in Orange County,
California and Alston & Bird LLP in Washington, D.C. While in private
practice, Ms. Botkin represented investment advisers, registered investment companies,
private funds, and broker-dealers in corporate, securities and investment
management matters. Ms. Botkin also served as an attorney in the SEC’s Division
of Investment Management disclosure review office from 2013 to 2014.
Paid Registration Cancellation or Substitution
paid registrations: Cancellations and substitutions must be received in writing
no later than noon (ET) Monday, May 1, 2017.
There are no refunds for cancellations after this date. Email your requests to firstname.lastname@example.org.