2 Sessions

 

CFTC Webinars – 2 Sessions

One Fee Includes Both Sessions

This two-part webinar series will address key CFTC and NFA regulatory and compliance topics for SEC-registered investment advisers also registered as CPOs or CTAs, and buy-side issues for investment advisers involved in the derivatives markets on behalf of clients. One registration fee includes access to the live webinars and the recording links for both webinars.

Session 1 of 2:

Hot Topics in CPO and CTA Regulation and Compliance

Wednesday, May 13
1:00 - 2:15 p.m. (ET)

Topics Covered

  • CPO and CTA registration requirements, including treatment of offshore funds and advisers
  • Compliance with CFTC recordkeeping and form reporting requirements
  • Compliance with NFA regulation of associated persons and principals and Bylaw 1101

Presenters

  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association, Moderator
  • Cary J. Meer, Partner, K&L Gates LLP
  • Beth Clark, Of Counsel, K&L Gates LLP
  • Mary T. Lomasney, Managing Director, BNY Mellon
  • Karen A. Aspinall, Senior Vice President, Senior Counsel, PIMCO

Session 2 of 2:

Hot Topics in Derivatives Regulation: Issues for the Buy Side

Wednesday, June 3
1:00 - 2:15 p.m. (ET)

Topics Covered

  • Key concerns raised by the CFTC’s proposed margin requirements for uncleared swaps
  • The role of CCPs and margin and collateral management
  • Ownership and control (OCR) reporting
  • SEF trading issues
  • ISDA Resolution Stay Protocol and documentation
  • Cross border issues

Presenters

  • Monique S. Botkin, Associate General Counsel, Investment Adviser Association, Moderator
  • Ruth S. Epstein, Partner, Stradley Ronon Stevens & Young, LLP
  • Matt K. Kerfoot, Partner, Dechert LLP
  • Philip T. Hinkle, Associate, Dechert LLP
  • Michael Insalaco, Counsel, INVESCO Advisers, Inc.

Registration

Registration for the live events has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Members and Associate Members $200*
Non-Members $475*
*Per computer login

 

Cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, June 1, 2015. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Karen A. Aspinall is a Senior Vice President and Senior Counsel in the legal and compliance department of PIMCO. Prior to joining PIMCO in 2010, she was a Senior Vice President and Assistant General Counsel at Nuveen Investments. She has 14 years of legal experience and holds a J.D. from The Washington College of Law at American University, where she also received her undergraduate degree.

Beth Clark is Of Counsel in K&L Gates’ Washington, D.C. office. She concentrates her practice in the investment management and securities areas where she advises participants in the financial services industry, including investment advisers, private fund managers, alternative investment vehicles and brokerage firms. In particular, Ms. Clark focuses on creating and counseling U.S. and non-U.S. private funds, including hedge funds, private equity funds and venture capital funds.

Ruth S. Epstein is a Partner at Stradley Ronon Stevens & Young. She has more than 30 years of corporate, securities and financial services experience, including five years with the Securities and Exchange Commission in the Division of Enforcement and the Office of General Counsel. Among many other responsibilities, Ms. Epstein assists clients in responding and adapting to expanded regulation of their industry by the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA).

Philip T. Hinkle is an Associate at Dechert LLP. He regularly advises U.S. registered and private investment funds and their boards, investment managers and other financial institutions on a variety of investment management and commodities and derivatives matters. Mr. Hinkle has significant experience with registered funds’ use of commodities and derivatives, and alternative strategies and related restrictions under the Investment Company Act of 1940. He is actively engaged in the firm’s global commodities and derivatives practice. He regularly works with U.S. and non-U.S. investment managers and other financial institutions in engaging in a range of derivatives transactions, including compliance with new requirements adopted under Dodd-Frank. Mr. Hinkle also advises investment managers on matters arising under the Commodity Exchange Act and CFTC regulations affecting their businesses, including requirements on commodity pool operators or commodities trading advisors.

Michael Insalaco is a member of Invesco's legal group in Houston, supporting Invesco's family of mutual funds and collective trust program of Invesco Trust Company, particularly in matters related to derivatives investing and derivatives regulation. Mr. Insalaco also provides legal support to Invesco’s internal clients, including portfolio managers, product development, trading and compliance. Prior to joining Invesco, Michael worked as a senior associate at Schulte Roth & Zabel LLP, where he represented investment advisers, registered investment companies and private funds and practiced in the areas of derivatives and structured finance.

Matthew K. Kerfoot is Partner at Dechert LLP. Mr. Kerfoot advises many of the world’s largest asset managers and financial institutions on the structuring and development of their alternative mutual funds, business development companies, exchange-traded funds and structured products. Mr. Kerfoot has particular expertise in providing derivatives-focused solutions to address regulatory, tax and financing needs for mutual funds, ETFs, BDCs and corporates.

Mary T. Lomasney is currently a Managing Director in the Corporate Compliance Department of BNY Mellon, supporting the Asset Management Division. Ms. Lomasney joined BNY Mellon in 2005 and has held various senior level compliance positions with the firm. She works with the CCOs of the many BNY Mellon registered investment advisers, coordinating the implementations of new rules and regulations across the firms. Ms. Lomasney has passed the CPA exam and is also Series 6, 7, 24, 26 and 63 registered with FINRA.

Cary J. Meer is a Partner with K&L Gates LLP and a member of the Investment Management and Hedge Fund practice groups. Ms. Meer structures private funds as limited liability companies, limited partnerships, offshore corporations, common trust funds and business trusts, and prepares disclosure documents and organizational documents for such entities. She also advises investment advisers, private fund managers and investment companies on compliance issues.

Monique S. Botkin (moderator) 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 and Alston & Bird LLP. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Monique also served as an attorney in the SEC's Division of Investment Management disclosure review office from 2013 to 2014.