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L&C 2015 Program

Tuesday, June 23, 2015 at 4:00 PM

12. OCR = Obsessive Compulsive Reporting?

Washington 4, Lower Level

This panel will discuss the recent developments in the Ownership and Control Reporting (OCR) rules. The discussion will focus on the Legal and Operational Challenges in implementing controls related to these requirements. The panelists will also analyze the challenges faced throughout the year, and what issues are still facing the industry.


Scott Taylor, Managing Director, Compliance, Wells Fargo Securities


Neal Kumar, Associate, Cadwalader, Wickersham & Taft
Mary Beth Rooney, Director, Compliance, Citigroup Global Markets
Corey Traub, Director, Exchange-Traded Derivatives Compliance, UBS Securities
Alan Walkow, Vice President, Legal- Derivatives Clearing Services, Goldman Sachs
James Woods, Chief Technology Officer, FIA Tech