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 legal@futuresindustry.org or 202-466-5460.

Past Division Events

• 35th Annual Law & Compliance Division Conference (L&C 2013)
  Wednesday, May 08, 2013

• 34th Annual Law & Compliance Division Conference (L&C 2012)
  Wednesday, May 09, 2012

• Chief Compliance Officer Bootcamp
  Monday, October 24, 2011
• L&C 2011 - 33rd Annual Law & Compliance Division Conference on the Regulation of Futures, Derivatives and OTC Products
  Wednesday, May 04, 2011

• FIA L&C Speaker Program presents CFTC Commissioner Scott O'Malia
  Tuesday, June 29, 2010
• 32nd Annual Law & Compliance Division Conference on the Regulation of Futures, Derivatives and OTC Products
  Wednesday, April 28, 2010

• FIA L&C Speaker Program presents A Mid-Year Update
  Thursday, November 12, 2009
• Luncheon with new CFTC General Counsel, Dan Berkovitz
  Thursday, August 13, 2009
• L&C 2009
  Wednesday, May 13, 2009

• FIA L&C Speaker Program presents Duncan L. Niederauer
  Tuesday, July 22, 2008
• FIA L&C Speaker Program presents Jeff Harris
  Monday, June 30, 2008
• ICE Clear Update
  Wednesday, April 30, 2008

• CFTC Commissioners in Chicago
  Tuesday, October 16, 2007
• CME Update
  Wednesday, August 22, 2007
• CFTC and FERC: Coordinating Enforcement
  Thursday, May 24, 2007
• Unveiling the Electronic Give-Up Agreement System
  Tuesday, January 23, 2007

• FIA L&C Luncheon: A View From Over the Pond
  Friday, October 13, 2006
• FIA Anti-Money Laundering Lunch: Know Your Clients
  Sunday, October 08, 2006
• 28th Annual FIA L&C Division Workshop
  Wednesday, May 10, 2006
• FIA Luncheon: "Working Together--Combined Futures/Securities Business Initiatives"
  Tuesday, April 25, 2006
• FIA L&C Division presents Event Markets & the Futures World
  Thursday, February 16, 2006

• FIA L&C Division presents the Honorable Reuben Jeffery
  Thursday, December 01, 2005