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2015 Program

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

Wednesday, November 4, 2015 at 11:15 AM

W11:15D FIA Law & Compliance presents Hot Regulatory Topics: I have to do WHAT?!

Continental C
CCO reports, risk reports, REMIT, registration in Canada, account ownership and control, exchange for related position transactions…this panel will discuss new regulatory obligations that you need to know.


Kimberly Johns, Vice President & Associate General Counsel, Goldman Sachs


Patricia Donahue, Senior Vice President, Chief Compliance Officer & Regulatory Counsel, Rosenthal Collins Group
Eileen Flaherty, Director of the Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission
Michael Sorrell, Assistant General Counsel, FIA
Scott Taylor, Managing Director, Compliance, Wells Fargo
Corey Traub, Director, Exchange Traded Derivatives Compliance, Compliance & Operational Risk Control, UBS