PLI's Advanced Swaps & Other Derivatives 2023

PLI New York
1177 Avenue of the Americas
New York, NY

and via Webinar

Locke McMurray of the Firm's Financial Markets Practice will participate in a panel titled "Enforcement Trends, Litigation, Insolvency and Resolution Authority: Safe Harbors; Orderly Liquidation" at PLI's "Advanced Swaps & Other Derivatives 2023" program.

This program will provide a comprehensive overview of the evolving regulatory framework for OTC derivatives and derivatives market participants, and explain how the regulatory framework affects these products, the structure of the market for these products, and market participants. The program will also cover documentation issues and recent developments in tax, accounting, and litigation related to OTC derivatives, as well as professional responsibility issues associated with derivatives.

Topics will include:

  • Views from industry thought leaders on the state of the derivatives markets: problems, opportunities, likely regulatory priorities 
  • Comprehensive analysis of the current regulatory framework for OTC derivatives:
    • What is the status of clearing and trading requirements?
    • What are the reporting requirements?
    • How is fintech developing and affecting the swaps markets? 
    • What are the major CFTC changes affecting reporting and conduct rules? 
    • Implementation of security-based swap dealer registration, substituted compliance, and security-based swap transaction reporting
    • When must swap market participants be registered as futures commission merchants?
    • How have banks and their affiliates been affected by limitations on derivatives and proprietary trading activities?
    • CFTC and SEC requirements for margin on uncleared swaps, capital requirements, effects on liquidity
    • What developments have been occurring in the CPO/CTA (funds) space?
    • What changes have been made to existing insolvency law or are being considered? What is the Resolution Stay Protocol?
    • How are the amended federal commodity and securities laws affecting brokers, advisors and funds transacting in OTC derivatives?
  • Structure and implementation of OTC derivatives transactions 
  • Developments in the swap activities of banks and Volcker developments  
  • NFA and CFTC intermediary coverage and coordination and their current priorities
  • Tax and accounting developments applicable to derivatives
  • Professional responsibility and its relationship to derivatives
  • Enforcement trends and litigation developments


For more information on this webinar, including registration and CLE details, please visit "Advanced Swaps & Other Derivatives 2023" on the PLI website.