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L&C 2015 Program


Monday, June 22, 2015 at 2:00 PM

1. CRF (Compliance Rapid Fire) Baltimore: 2015

Salon 3, Lobby Level

In this session, a panel of experts will be asked to address a multitude of important  questions (both basic and high level) necessary to help set up and maintain in good standing different potential industry registrants on an ongoing basis (e.g., FCM, Swap Dealer, IB, CTA, CPO, Broker Dealer, DCO, DCM and SEF). The objective will be, with the audience's help, to commit the panelists to resolve what it takes to enable Chief Compliance Officers, Chief Regulatory Officers, in-house Counsel, and their colleagues to comply with both legacy regulations and the myriad of new regulations adopted since Dodd-Frank. Last year it was CSI – this year the theme is Baltimore’s own “The Wire.” Who are the good and bad guys? Sometimes it’s not clear – neither are the answers to many of the hypothetical questions!

Co-Moderators:

Gary DeWaal, Special Counsel, Katten Muchin Rosenman
Ronald Filler, Professor of Law and Director of the Financial Services Law Institute, New York Law School

Speakers:

Paul Architzel, Partner, Wilmer Hale
Thomas Bales, Senior Vice President, Corporate Counsel, Jefferies
Bruce Beatus, Director & Associate General Counsel, Bank of America Merrill Lynch
Daniel Driscoll, Executive Vice President & Chief Operating Officer, National Futures Association
Bill Gerlesits, Chief Compliance Officer, FCM and SD, SG Americas Securities
Kimberly Johns, Vice President & Associate General Counsel, Goldman Sachs
Steven Lofchie, Partner, Cadwalader Wickersham & Taft
Stephen Morris, Executive Director, Legal & Compliance, Morgan Stanley
Stephen Obie, Partner, Jones Day
Lawrence Patent, Of Counsel, K&L Gates
Ananda Radhakrishnan, Partner, Norton Rose Fulbright US
Andrew Vrabel, Executive Director, Global Investigations, CME Group
Petal Walker, Chief Counsel for Commissioner Bowen, Commodity Futures Trading Commission
Carol Wooding, Associate General Counsel, National Futures Association