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L&C 2014 Program

Thursday, May 8, 2014 at 10:30 AM

6. Chief Compliance Officer - First "Big" Year

Harborside A/B

The session will focus on the first full FCM and SD CCO reports including how the report has changed firmís processes going forward, what the CCO is relying on to complete the report, and the format. The panel will also discuss the impact of substitute compliance on the Annual Report submission for non-U.S. Swap Dealers, including Home Country Board Report(s) or stand-alone reports, and Home Country Regulator requirements, such as filing, deadline and restrictions, certification, scope, signer and CCO appointment. Additionally, the panel will also discuss the updating of 4(s) filings going forward.


Michelle Broom, Chief Compliance Officer, Macquarie Futures USA, and Executive Director, Risk Management Group, Compliance, Macquarie Group


Gary Barnett, Director, Division of Swap Dealer & Intermediary Oversight, Commodity Futures Trading Commission
Dan Berkovitz, Partner, WilmerHale
John Montone, Executive Director, Legal and Compliance Division, Morgan Stanley
Christine Parker, Associate, Sullivan & Cromwell
Jamila Piracci, Vice President of OTC Derivatives, National Futures Association
Marcia Tu, Director, Americas Compliance Strategy, Credit Suisse Securities USA