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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.


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


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