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L&C 2014 Program


Wednesday, May 7, 2014 at 2:00 PM

1. CRF (Compliance Rapid Fire) Baltimore: 2014

Harborside A/B/C

In this session, a panel of experts will be exposed to a multitude of basic questions necessary to help set up and maintain in good standing different potential industry registrants on an ongoing basis (e.g., FCM, Swap Dealer, IB, Broker Dealer). The objective will be, with the audience's help, to commit the panelists to say precisely what it takes to enable Chief Compliance Officers and their advisors to comply with both existing regulations and the myriad of new regulations adopted since Dodd-Frank. The clues and excitement of CSI: Miami will be no match!

Co-Moderators:

Gary DeWaal, Special Counsel, Katten Muchin Rosenman
Ronald Filler, Professor of Law and Director of the Financial Services Law Institute, New York Law School

Speakers:

Michelle Broom, Executive Director, Risk Management Group, Compliance, Macquarie Group, and Chief Compliance Officer, Macquarie Futures (USA) LLC
Katherine Cooper, Senior Vice President & Chief Regulatory Officer, NYSE Liffe U.S.
Daniel Driscoll, Executive Vice President & Chief Operating Officer, National Futures Association
Eileen Flaherty, Global Head of Compliance & FCP, Newedge USA, and General Counsel, Newedge Americas
Maureen Guilfoile, Managing Director & General Counsel, ABN AMRO Clearing Chicago
Kimberly Johns, Vice President & Associate General Counsel, Goldman Sachs
Rita Molesworth, Partner, Willkie Farr & Gallagher
Stephen Obie, Partner, Jones Day
Amanda Olear, Associate Director, Registration and Compliance Branch, Division of Swap Dealer & Intermediary Oversight, Commodity Futures Trading Commission
Paul Pantano, Partner, Cadwalader Wickersham & Taft
Michael Philipp, Partner, Morgan, Lewis & Bockius
Jamila Piracci, Vice President of OTC Derivatives, National Futures Association
Elizabeth Ritter, Chief of Staff & Senior Legal Counsel, Office of Commissioner Chilton, Commodity Futures Trading Commission
Mike Ryan, Executive Vice President & General Counsel, Trading Technologies International
Roger TanCreti, Compliance Manager, Vitol Inc.
Kathryn Trkla, Partner, Foley & Lardner
Andrew Vrabel, Global Head of Investigations, Market Regulation Department, CME Group
John Williams, Partner, Milbank, Tweed, Hadley & McCloy