file-o file-pdf-o file-word file-excel file-powerpoint file-image file-archive file-audio file-movie file-code file-openoffice file-css menu googleplus facebook instagram twitter feed youtube vimeo2 lanyrd flickr picassa deviantart github wordpress blogger tumblr yahoo soundcloud skype linkedin lastfm delicious stumbleupon stackoverflow pinterest foursquare cross arrow-left arrow-down arrow-up arrow-right arrow-left2 arrow-down2 arrow-up2 arrow-right2 arrow-left3 arrow-down3 arrow-up3 arrow-right3

You are here

L&C 2015 Program


Wednesday, June 24, 2015 at 10:30 AM

20. The Basics of Customer On-Boarding Post Dodd-Frank

Maryland Suite, Lobby Level

Given the various changes in global regulations, many FCMs have had to re-paper in one form or another. This panel will discuss the key changes to customer documentation in the last year as a result of EMIR, Ownership and Control Report, risk disclosure statements, FATCA and Joint Audit Committee actions. The panel will discuss whether additional changes are on the horizon.

Co-Moderators:

Tammy Botsford, Vice President & Assistant General Counsel, J.P. Morgan
Julie Mao, Director & Counsel, Credit Suisse Securities

Speakers:

Tom Cohen, Managing Director, SG Americas Securities
Greg Hostetler, Chief Compliance Officer, Futures Division, Wedbush Securities
John Nicolson, Director & Assistant General Counsel, Bank of America Merrill Lynch
Ray Ramirez, Associate, Sutherland Asbill & Brennan
Kathryn Trkla, Partner, Foley & Lardner