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PLI's Advanced Swaps & Other Derivatives 2017

October 24-25, 2017

PLI New York Center
1177 Avenue of the Americas
(2nd floor), entrance on 45th Street
New York, New York 10036.

At this program, our the faculty 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.

Jones Day Financial Institutions Litigation & Regulation of counsel Locke McMurray will speak on a panel entitled, "Innovative Market Trends, Enforcement Trends, Litigation, Insolvency and Resolution Authority: Safe Harbors; Orderly Liquidation."

What You Will Learn

  • A comprehensive analysis of the current regulatory framework for OTC derivatives:
    • Who is required to register and as what?
    • How is cross-border activity covered under the regulatory framework?
    • What is the status of mandatory clearing and trading requirements?
    • What are the reporting requirements?
    • What are swap execution facilities?
    • Who must be regulated as a swap execution facility?
    • What are the pending margin requirements and to whom do they apply?
    • 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?
    • Are position limits applicable to OTC derivatives?
    • 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?
  • Significant issues relating to credit, equity and commodity derivatives
  • Recent litigation developments related to derivatives
  • Tax and accounting developments applicable to derivatives
  • Professional responsibility and derivatives


Registration for this event is required. To register for this event, groupcast events, or webcast, or determine CLE credit, visit the Practising Law Institute website.