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2015 Program

November 3-5, 2015 // Hilton Chicago // Chicago, Illinois


Wednesday, November 4, 2015 at 3:45 PM

W3:45D Registration from a Global Perspective: Who and what doesn’t have to be registered?

Buckingham
Determining registration requirements for entities, strategies, technology and personnel is a major challenge for market participants. Finding the right resources to understand and implement new registration requirements is impacting firms' bottom lines…but the cost of non-compliance is significant. This panel brings together industry and regulatory experts to shed light on current and future registration regimes and will assist attendees to identify issues and resources to meet their registration obligations.

Chair:

Jeff Ramsey, Managing Director and General Counsel, Geneva Trading

Speakers:

Yvette Christman, Vice President, Membership & Registration, National Futures Association
Matt Lisle, Chief Compliance Officer, ABN AMRO Clearing Chicago
Bernd Mack, Executive Vice President, Head of Market Structure, Eurex
Joe McDonald, Senior Director, Testing and Continuing Education Department, FINRA
Jim Moran, Executive Director, Global Markets Regulation, CME Group
Joel Zawko, Chief Compliance Officer, Optiver US