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Learn about the latest NFA compliance issues for asset managers that are also CFTC-registered commodity pool operators (CPOs) and commodity trading advisors (CTAs). The panelists will discuss compliance with: (1) new NFA rules requiring CPO Internal Controls, (2) new Swaps Proficiency Requirements for registered associated persons (APs) of CPOs and CTAs, and (3) amended Information Security Systems Program (ISSP) requirements related to cybersecurity incidents. Hear also about key NFA exam findings and considerations for CPOs and CTAs.
Patricia L. Cushing is a Director of Compliance at National Futures Association (NFA). She has worked at NFA since 1990. 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.
Cary J. 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.
Monique S. Botkin is Associate 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, DC. 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.
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