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L&C 2014 Program

Thursday, May 8, 2014 at 2:00 PM

9. There Are No Rogue Traders, Just Bad Supervision

Harborside A/B

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.


Kenneth Raisler, Partner, Sullivan & Cromwell
Sebastian Tiger, Director, Global Head of Commodities, FX, Rates, Securitized Products & Municipals Compliance, Barclays


Patricia Donahue, Senior Vice President, Chief Compliance Officer & Chief Regulatory Counsel, Rosenthal Collins Group
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