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Expo 2017 Program

October 17-19, 2017 // Hilton Chicago // Chicago, Illinois

Thursday, October 19, 2017 at 4:00 PM

Training Workshop: CFTC Risk Management Training Requirements


CFTC Rule 1.11 requires FCMs to provide annual training for finance, treasury, operations, regulatory, compliance, settlement and other relevant officers and employees. This course is designed to cover required training topics such as segregation requirements, notice requirements, procedures for reporting suspected breaches of risk management policies and procedures, and the consequences of failing to comply. 


Janet McCormick, Executive Director & Compliance Officer, Mizuho Securities


Stephen Obie, Partner, Jones Day
Dale Spoljaric, Managing Director, Compliance, National Futures Association