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2014 Program

Thursday, November 6, 2014 at 1:00 PM

T1:00D FIA Compliance Committee presents Round 2: FCM & Swap Dealer Issues


Members of the FIA Compliance Committee will bring delegates up-to-date on requirements for Chief Compliance Officers and new risk program rules for FCMs and Swap Dealers. What does business as usual look like under the new customer protection regime including components of a risk management program, quarterly risk exposure reports and disclosures required under 1.55? How are swap dealers revising processes for next year’s CCO annual report based on feedback from the NFA and CFTC? What deadlines are approaching over the next 12 months?


Michelle Broom, Executive Director & Chief Compliance Officer, Macquarie Futures


Mark Basile, Senior Vice President, Compliance, Macquarie
Katrina Jackiewicz, Vice President, Securities Division Compliance, Goldman Sachs
David King, Director, General Counsel Division - Listed Derivatives Compliance, Credit Suisse Securities
Jamila Piracci, Vice President, OTC Derivatives, National Futures Association