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L&C 2015 Program


Tuesday, June 23, 2015 at 8:30 AM

3. Chief Compliance Officer - What Have We Learned?

Salon 3, Lobby Level

This panel will discuss what the feedback market participants have received with respect to CCO Annual Reports and risk management programs for both FCMs and Swap Dealers. The panelists will also exchange views on escalation and self-reporting. 

Moderator:

Michelle Broom, Executive Director, Risk Management Group, Compliance, Macquarie Group, and Chief Compliance Officer, Macquarie Futures (USA)

Speakers:

Kathy Cawley, Director & Compliance Executive, Bank of America Merrill Lynch Global Markets
Rosario Chiarenza, Executive Director, Head of Regulatory Reform Strategy, Morgan Stanley
Katrina Jackiewicz, Vice President, Securities Division Compliance, Goldman Sachs
Christine Parker, Associate, Sullivan & Cromwell
Jamila Piracci, Vice President, OTC Derivatives, National Futures Association
Erik Remmler, Deputy Director, Registration & Compliance, Division of Swap Dealer & Intermediary Oversight, Commodity Futures Trading Commission
Marcia Tu, Director, Americas Compliance Strategy, Credit Suisse Securities USA