At the Futures Industry Association Legal and Compliance Division (“FIA L&C”) annual conference for 2019, FIA appointed Chicago partner Jim Lundy to their Executive Committee. Further, Jim spoke at the conference on May 9, 2019, on a panel titled “Someone to Watch over Me: Why, What and How to Surveil.”

On his panel, Jim discussed the regulatory enforcement efforts regarding surveillance breakdowns, surveillance best practices, and how to align surveillance programs with the compliance and supervision obligations of firms.

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