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L&C 2015 Program


Wednesday, June 24, 2015 at 8:30 AM

15. Getting it Done: Practical Tips for Implementing Challenging Rules

Washington 4, Lower Level

The panel of industry CCOs, attorneys and  managers will provide practical advice as to how they are handling  the following areas, including vendors used and  feedback received from regulators: disruptive trade practices, supervisory failures, customer protection rules, and the firm -specific risk disclosure.

Moderator:

Patricia Donahue, Senior Vice President, Chief Compliance Officer & Regulatory Counsel, Rosenthal Collins Group

Speakers:

Lisa Dunsky, Counsel, Sidley Austin
John Nicholas, Managing Director, Compliance Department, SG Americas Securities
Michael Piracci, FCM Chief Compliance Officer and Director, Compliance, Barclays Capital
Tom Smith, Interim Director & Chief Accountant, Division of Swap Dealer & Intermediary Oversight, Commodity Futures Trading Commission
Regina Thoele, Senior Vice President of Compliance, National Futures Association