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L&C 2014 Program


Thursday, May 8, 2014 at 8:30 AM

4. Implementation of New Customer Protection Rules

Harborside C

The panel will discuss interpretive questions and nuances of the new customer protection rules, including disclosure and risk management requirements, residual interest, 30.7 balances, and initiatives in third party custodial accounts.

Moderator:

Bonnie Litt, Managing Director & Associate General Counsel, Goldman Sachs

Speakers:

Jonathan Breckenridge, Global Head of Prime Brokerage & Clearing Compliance, Securities Division Compliance, Goldman Sachs, and Chief Compliance Officer, Goldman Sachs Execution & Clearing
Maureen Burke, Global Treasurer for Agency Clearing, Collateral Management & Execution, J.P. Morgan Securities
Kevin Foley, Partner, Katten Muchin Rosenman
Debbie Kokal, Executive Director, Audits, CME Group
Thomas Sexton, Senior Vice-President, General Counsel, and Secretary, National Futures Association
Thomas Smith, Deputy Director & Chief Accountant, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission