FIA Law & Compliance
Any employee of an FIA member firm, regardless of the firm's membership category, is eligible to join a division for a small annual membership fee. To renew or join, please log in above.
Division Background
The Law & Compliance Division monitors legal and regulatory developments affecting the futures and derivatives industry, assisting FIA in providing information to help relevant regulators and courts make decisions that affect the futures exchanges community. The Division discusses issues with U.S. and International regulators and exchanges and prepares; comment letters, position papers, and court briefs when appropriate.

Division members address industry issues through conferences, meetings and monthly luncheons in Chicago and New York. The Law & Compliance Division sponsors a two-day workshop each spring which attracts more than 350 industry participants to discuss current legal and compliance issues. Click here to join the Law & Compliance division. For questions please contact Beth Thompson at or 202-466-5460.

Past Division Events
2014 Division Events
2013 Division Events
2012 Division Events
2011 Division Events
2010 Division Events
2009 Division Events
2008 Division Events
2007 Division Events
2006 Division Events
2005 Division Events
Division Board Directory
Bruce A. Beatus
Director and Associate General Counsel
Bank of America Merrill Lynch
540 W Madison St.
Chicago, IL 60661
(312) 521-4323
Kimberly A. Johns
Vice President & Associate General Counsel
Goldman, Sachs & Co.
200 West St Fl 15
New York, NY 10282-2102
(917) 343-8131
Vice President
Michelle Broom
Managing Director
Macquarie Futures (USA) Inc.
125 West 55th Street
23rd Floor
New York, NY 10019
(212) 231-1558
(212) 231-1598 -Fax
Vice President
Alexandra Guest
Global Head of Commodities, Futures
& e-Commerce Compliance
747 Seventh Avenue
New York, NY 10019
(212) 526-2066
Stephen Morris
Executive Director
Morgan Stanley
1221 Avenue of the Americas, 34th Floor
New York, NY 10020
(212) 762-4986
Michael Otten
Executive Director, Legal
Nomura Securities International, Inc.
309 W. 49th Street
New York, NY 10019
(212) 298-4560
Marie-Anne Clarke
Director & Counsel
RBS Securities Inc.
600 Washington Boulevard
Stamford, CT 06901
(203) 897-3696