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NIBA Compliance Officers Group Letter

To All Derivatives Compliance Officers:

NIBA is excited to announce the formation of a new working group specifically focused on the concerns of compliance officers in the derivatives industry. The Compliance Officers Group (COG) will discuss everything from regulatory updates to rule changes and enforcement actions…all the things you deal with every day.

The first meeting of COG is scheduled for September 12 at the Chicago offices of Mayer Brown. We hope to also have a webinar or two during the fall/winter of 2023.

This September in-person meeting will be a Roundtable discussion. We’ll discuss two or three “hot” topics in an informal two-hour conversation meant to include everyone’s major concerns and opinions.

NIBA’s Compliance Officer Group is open to all compliance officers of firms that are registered with the CFTC and members of the NFA, and lawyers focused in the area of futures and derivatives. At our first meeting, we will also tell you how to claim your firm’s NIBA membership and assure the listing is correct on the NIBA website,

Details and an agenda for the September 12 meeting will be available soon. Please respond to Melinda if you would like to be included. Please contact any committee co-chair with ideas and suggestions for topics for future COG meetings.

Whether you are part of a compliance team at your firm or you are the entire compliance team – and more! – for your IB or CTA, NIBA invites you to join in. Learn, keep up, share. See you in

September, NIBA Compliance Officer Group Co-Chairs: