L&C 2014 Program
Thursday, May 8, 2014 at 2:00 PM
9. There Are No Rogue Traders, Just Bad Supervision
This session will discuss the panelistsí perspective on what is required under Rule 166.3 for supervision in light of all the other new rules arising out of Dodd-Frank. The panel will also consider what role or line of defense the supervisor and/or compliance can or should assume where most trading information received is post-trade and where regulators are naming individuals based on their supervisory role. The panel will discuss what courses of action are realistic when a potential problem is observed, including potential reporting obligations and mechanisms.
Sebastian Tiger, Director, Global Head of Commodities, FX, Rates, Securitized Products & Municipals Compliance, Barclays
David Meister, Partner, Skadden, Arps, Slate, Meagher & Flom
Armand Nakkab, Managing Director & Compliance Managing Director, J.P. Morgan
Tom Nuelle, Chief Compliance Officer, North America, and Regional Compliance Director, NAGP, BP Energy Company