2018 Webinar - Hot Topics in Derivatives Issues for Asset Managers, CPO/CTA Regulation and NFA Exams

When:  May 23, 2018 from 2:00 PM to 3:30 PM (ET)

Learn about developments in derivatives issues for the buy-side, including margin developments and FINRA Rule 4210, contractual modifications for insolvency matters, reporting requirements under MiFID II, and manufactured defaults involving credit default swaps. The panel will also discuss registration and compliance issues for commodity pool operators (CPOs) and commodity trading advisors (CTAs) related to principals and APs, exam waivers, reporting, and NFA Bylaw 1101. Hear about key findings in NFA exams and other top NFA initiatives affecting 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.

Thomas V. D’Ambrosio is a partner in Morgan Lewis & Bockius’ New York office. Mr. D’Ambrosio concentrates his practice on structured and complex derivative transactions, including related insolvency and regulatory issues. He helps clients structure, negotiate, and analyze the risk inherent in a wide range of cleared and uncleared derivative and futures products. He represents clients in all asset classes, including equity, debt, credit, commodity, interest rate, currency, and exotic derivatives. His clients range from Fortune 500 corporations, private companies, investment managers and hedge funds, to financial institutions, pension funds, and high net-worth individuals.

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 compa¬nies, 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.


Registration for the live webinar has closed.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. The reocrding link will be posted within five business days after the webinar.

Non-Member Registration Fees: The recording will be available for purchase after May 23. Contact iaaevents@investmentadviser.org to purchase the recording ($250).

Cancellations and substitutions must be received in writing no later than noon on Tuesday, May 22. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

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Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.


For questions regarding this call, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.