FIF - Financial Information Forum

Spotlight presentation on Chief Compliance Officer Liability

On Thursday March 10, 2022 at 3pm ET, FIF will host a spotlight presentation on Chief Compliance Officer liability. Patrick Campbell of the Baker Hostetler law firm, Adam Felsenthal, General Counsel of Great Point Partners, and Scott Gluck of the Duane Morris law firm will discuss a report by the Compliance Committee of the New York City Bar Association that details concerns about compliance officer liability and calls on regulators to provide limitations and guidance on when a compliance officer should be charged. They will also discuss the “no under influence over chief compliance officer” provision in the SEC’s recent rule proposal relating to security-based swaps. The invite for this presentation has been sent to the members of the FIF Compliance Working Group. If you are interested in attending this presentation and do not have the invite in your calendar, please either update your profile or email us at fifinfo@fif.com.

POSTED Feb 14,2022

FIF CAT CAIS Working Group

FIF has scheduled an additional call this week for the FIF CAT CAIS Working Group to focus on proposed extension requests for the CAIS CCID phase. The call will be on Monday, February 7 at 11am ET. This will be in addition to the regularly-scheduled Wednesday and Friday CAIS calls this week.

POSTED Feb 07,2022

FIF Rule 606 Working Group

The FIF Rule 606 Working Group will meet on Tuesday, February 8 at 2pm ET to discuss a draft interchange report to facilitate Rule 606(a) options look-through reporting, Rule 606 reporting for cash value orders that involve fractional shares, and the FINRA proposal to require reporting for routes in OTC equities. The Working Group also will review a recent filing by the SEC with the Office of Management and Budget (OMB) that estimates the annual costs to the industry for Rule 606 compliance.

POSTED Feb 07,2022

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

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