Matt Soldato
Director
Financial Services Compliance and Regulation
Chicago
Webcast Replay – NFA 2022 Trends
March 17, 2022
The National Futures Association (NFA) recently released 2022 regulatory obligations related to common deficiencies during NFA examinations.
In this webinar, Kroll financial services industry leaders alongside experts from Kirkland & Ellis explored the 2022 NFA and Commodity Futures Trading Commission (CFTC) priorities and the best practices to ensure your firm’s compliance readiness.
Key Takeaways
-
A look back at 2021 rules and enforcement actions
-
Anticipated 2022 regulatory developments, including third-party vendors, cyber security and market practice
-
NFA exam tips and best practices
Speakers
- Josh Westerholm
- Matt Soldato
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Forensic Investigations and Intelligence
Providing clients with global investigative expertise to help make critical decisions and mitigate risk.
Compliance Risk and Diligence
Complying with anti-money laundering and anti-bribery and corruption regulations.
Business Valuation and Appraisals
Kroll provides valuation and asset appraisal for financial reporting, income tax, investment and risk management purposes.
Join Kroll financial services industry leaders alongside experts from Kirkland & Ellis LLP as we host a virtual discussion on how your firm can best navigate the NFA exam process, using examples from our real-world client experiences.
Webcast Key Takeaways
- A look back at 2021 rules and enforcement actions
- Anticipated 2022 regulatory developments, including third-party vendors and cyber security
- NFA exam tips and best practices
- CLE credits offered*
Presenters
- Matt Soldato, Director in Kroll's Financial Services Compliance and Regulation practice
- Josh Westerholm, Partner of Kirkland & Ellis LLP and leader in the Regulatory practice within the Investment Funds Group
*CLE credits pending in California, Illinois, New York, and Texas
Forensic Investigations and Intelligence
Providing clients with global investigative expertise to help make critical decisions and mitigate risk.
Compliance Risk and Diligence
Complying with anti-money laundering and anti-bribery and corruption regulations.
Business Valuation and Appraisals
Kroll provides valuation and asset appraisal for financial reporting, income tax, investment and risk management purposes.
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