An annual practical update on recent legal, regulatory, and enforcement developments for lawyers and compliance officers.

Transcription

1 Registration Fee Early Bird Registration Fee (per person)... $395 (Until October 5, 2012) After October 5, $435 Government & Alumni Rate... $325 Name (please print) PAID Lawyers, Compliance Officers and Regulators Chicago, IL Permit No Online: cle.kentlaw.edu Mail: Office of Continuing Legal & Professional Education 565 West Adams St. Chicago, IL Phone: (312) For Non-Profit Org U.S. Postage Registration Form: Futures & Derivatives 3 Easy Ways to Register 4th Annual Conference on Futures & Derivatives Why It is a time of new rules and continuous, evolving legislative change. We hope you can join us for a day of practical and informed discussion on the most recent legal, regulatory and enforcement developments affecting futures and derivatives practice. An annual practical update on recent legal, regulatory, and enforcement developments for lawyers and compliance officers. Professional Title Firm/Agency Program at a Glance Address City State Telephone Zip 11:15a.m.-12:15p.m. Ethical Boundaries for Zealous Lawyers Fax Registration form must accompany payment. Registration will not be accepted unless submitted with payment. q Payment by credit card. Card # Security Code Signature 4:45p.m. Cocktail & Networking Reception IL MCLE Credit 6.0 hours, including 1.0 hour of professionalism credit Amount enclosed $ q MasterCard q Discover gratefully acknowledges the support of Thompson Coburn LLP. Exp. Date q Payment by check. Amount enclosed $ (Make check payable to: ) 2:45p.m.-4:45p.m. Compliance Issues 565 West Adams Street Chicago, Illinois Payment Information 1:30p.m.-2:30p.m. CFTC Enforcement Update q Please check here if you have any special needs and a CLE staff member will contact you. 4th annual Conference on Futures & Derivatives 12:15p.m.-1:30p.m. Lunch (on your own) q VISA q American Express This conference is presented with the generous support of Thompson Coburn LLP 9:00a.m.-11:15a.m. Recent Developments

2 Registration Fee Early Bird Registration Fee (per person)... $395 (Until October 5, 2012) After October 5, $435 Government & Alumni Rate... $325 Name (please print) PAID Lawyers, Compliance Officers, and Regulators Chicago, IL Permit No Online: cle.kentlaw.edu Mail: Office of Continuing Legal & Professional Education 565 West Adams St. Chicago, IL Phone: (312) For Non-Profit Org U.S. Postage Registration Form: Futures & Derivatives 3 Easy Ways to Register 4th Annual Conference on Futures & Derivatives Why It is a time of new rules and continuous, evolving legislative change. We hope you can join us for a day of practical and informed discussion on the most recent legal, regulatory and enforcement developments affecting futures and derivatives practice. An annual practical update on recent legal, regulatory, and enforcement developments for lawyers and compliance officers. Professional Title Firm/Agency Program at a Glance Address City State Telephone Zip 11:15a.m.-12:15p.m. Ethical Boundaries for Zealous Lawyers Fax Registration form must accompany payment. Registration will not be accepted unless submitted with payment. q Payment by credit card. Card # Security Code Signature 4:45p.m. Cocktail & Networking Reception IL MCLE Credit 6.0 hours, including 1.0 hour of professionalism credit Amount enclosed $ q MasterCard q Discover gratefully acknowledges the support of Thompson Coburn LLP. Exp. Date q Payment by check. Amount enclosed $ (Make check payable to: ) 2:45p.m.-4:45p.m. Compliance Issues 565 West Adams Street Chicago, Illinois Payment Information 1:30p.m.-2:30p.m. CFTC Enforcement Update q Please check here if you have any special needs and a CLE staff member will contact you. 4th Annual Conference on Futures & Derivatives 12:15p.m.-1:30p.m. Lunch (on your own) q VISA q American Express This conference is presented with the generous support of Thompson Coburn LLP 9:00a.m.-11:15a.m. Recent Developments

3 Conference Speakers Richard T. Reibman Partner, Thompson Coburn LLP Adjunct Professor in Financial Services Law, IIT Chicago-Kent College of Law Greg Benbrook Executive Director, CME Market Regulation Investigations Patricia L. Cushing Associate Director, Audit Management & Education, National Futures Association Patricia Donahue Senior Vice President, Chief Compliance Officer & Regulatory Counsel, Rosenthal Collins Group LLC Maureen C. Guilfoile Partner Katten Muchin Rosenman LLP Rosemary C. Hollinger Regional Counsel U.S. Commodity Futures Trading Commission Marc Nagel Chief Operating Officer Dorman Trading LLC Scott Renfroe Chief, Supreme Court Practice, Illinois ARDC Christine Roche Manager of Arbitration Jennifer Sunu Director, Audits Futures & Derivatives Conference Advisory Board Richard T. Reibman Conference Chairman Partner, Thompson Coburn LLP Patricia Donahue Senior Vice President, Chief Compliance Officer & Regulatory Counsel, Rosenthal Collins Group LLC Marc Nagel Chief Operating Officer Dorman Trading LLC Jennifer Sunu Director, Audits Deborah T. Villa Senior Director, CLE

4 Program Schedule 8:00 a.m. 8:55 a.m. Registration 8:55 a.m. 9:00 a.m. Welcome & Announcements 9:00 a.m. 11:15 a.m. Recent Developments NFA Current Regulatory Issues: segregated funds; changes to part 4; changes to regulations as a result of Dodd-Frank and Forex Rules NFA Enforcement Actions: providing false and misleading information to NFA, failing to cooperate with an NFA exam; misleading promotional material, failing to disclose material information and trading platform abuses at Forex Dealer Members Patricia L. Cushing Associate Director, Audit Management & Education, National Futures Association Jennifer Sunu Director, Audits NFA Arbitration Update Christine Roche Manager of Arbitration 11:15 a.m. 12:15 p.m. Ethical Boundaries for Zealous Lawyers Zealous or Crossing the Line? Piling On Discussion of Illinois rules 1.2, 1.4, 1.13, , with hypothetical examples Greg Benbrook Executive Director CME Market Regulation Investigations Richard T. Reibman Partner, Thompson Coburn LLP Adjunct Professor in Financial Services Law, IIT Chicago- Kent College of Law Scott Renfroe Chief, Supreme Court Practice, Illinois ARDC 12:15 p.m. 1:30 p.m. Lunch (on your own) 1:30 p.m. 2:30 p.m. CFTC Enforcement Update A discussion of recently filed cases by the Division of Enforcement Settlements in Bunge Global Markets and BlackRock, Inc.

5 New authority under 6c(1) in manipulation New disruptive trade practice regulations Rosemary C. Hollinger Regional Counsel U.S. Commodity Futures Trading Commission 2:30 p.m. 2:45 p.m. Break 2:45 p.m. 4:45 p.m. Compliance Issues Chief compliance officer duties and obligations for the FCM Red flags: Recent NFA and CFTC case law on failure to supervise Compliance issues in trading: Disruptive trading practices; manipulation; wash sales; position limits; and exchange trading violations Patricia Donahue Senior Vice President, Chief Compliance Officer & Regulatory Counsel Rosenthal Collins Group LLC Maureen C. Guilfoile Partner, Katten Muchin Rosenman LLP Marc Nagel Chief Operating Officer Dorman Trading LLC 4:45 p.m. 5:45p.m. Cocktail & Networking Reception

6 General Information Program Location The conference will be held at IIT Chicago-Kent College of Law, 565 West Adams Street in Chicago. Confirmation of Registration A letter of confirmation will be ed to the address given on your registration form. If you do not receive an confirmation after registering and before the conference please contact the Office of Continuing Legal & Professional Education at cle@kentlaw.iit.edu. Confirmation of Attendance A certificate of attendance will be provided at registration. Cancellations and Refunds Written notification of cancellation is required. A full tuition refund is available if notification is received prior to September 21; 25% will be charged if notification is received between September 21 and October 12, No refunds will be granted after October 12, MCLE Credit is an accredited provider for IL & PA MCLE. This conference is eligible for 6.0 hours on a 60 minute credit hour; includes 1.0 hour of approved professionalism/ethics credit. For additional information: please call the Office of Continuing Legal and Professional Education, Chicago-Kent College of Law, (312) , or send an to cle@kentlaw.iit.edu. LL.M. in Financial Services Law IIT Chicago-Kent s Graduate Program in Financial Services Law offers full-time and part-time students a unique opportunity to broaden their understanding of the principles underlying increasingly complex systems and services, deepen their knowledge of particular topics of interest, and enhance their skills as professionals. Deregulation of financial services, tax reforms, globalization, technology, and revolutionary market forces have created an environment in which attorneys must broaden their knowledge and sharpen their skills to handle the range of legal and related issues arising in the new and evolving financial services industry. The LL.M. program in Financial Services Law educates legal professionals to be effective in this rapidly changing environment. It emphasizes the global nature of financial markets. The LL.M. in Financial Services Law is a full- or part-time degree program for individuals holding J.D., LL.B. or other non-us first law degrees. Please call (312) or intllm@kentlaw.iit.edu for more information.

7 Registration Fee Early Bird Registration Fee (per person)... $395 (Until October 5, 2012) After October 5, $435 Government & Alumni Rate... $325 Name (please print) PAID Lawyers and compliance officers Chicago, IL Permit No Online: cle.kentlaw.edu Mail: Office of Continuing Legal & Professional Education 565 West Adams St. Chicago, IL Phone: (312) For Non-Profit Org U.S. Postage Registration Form: Futures & Derivatives 3 Easy Ways to Register 4th annual Conference on Futures & Derivatives Why It is a time of new rules and continuous, evolving legislative change. We hope you can join us for a day of practical and informed discussion on the most recent legal, regulatory and enforcement developments affecting futures and derivatives practice. An annual practical update on recent legal, regulatory, and enforcement developments for lawyers and compliance officers. Professional Title Firm/Agency Program at a Glance Address City State Telephone Zip 11:15a.m.-12:15p.m. Ethical Boundaries for Zealous Lawyers Fax Registration form must accompany payment. Registration will not be accepted unless submitted with payment. q Payment by credit card. Card # Security Code Signature 4:45p.m. Cocktail & Networking Reception IL MCLE Credit 6.0 hours, including 1.0 hour of professionalism credit Amount enclosed $ q MasterCard q Discover gratefully acknowledges the support of Thompson Coburn LLP. Exp. Date q Payment by check. Amount enclosed $ (Make check payable to: ) 2:45p.m.-4:45p.m. Compliance Issues 565 West Adams Street Chicago, Illinois Payment Information 1:30p.m.-2:30p.m. CFTC Enforcement Update q Please check here if you have any special needs and a CLE staff member will contact you. 4th annual Conference on Futures & Derivatives 12:15p.m.-1:30p.m. Lunch (on your own) q VISA q American Express This conference is presented with the generous support of Thompson Coburn LLP 9:00a.m.-11:15a.m. Recent Developments