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L&C 2014 Program


Thursday, May 8, 2014 at 2:00 PM

10. Futures 101: NFA Bylaw 1101 and Aiding and Abetting - What Do You Need to Know About Your Customer?

Harborside C

This session will focus on the basics of NFA Bylaw 1101 requirements including available exemptions from CPO status, discuss the nature of CPOs and CTAs, and how and why clearing firms have to make these determinations if a customer should be registered (as a CPO, CTA or FCM) and what it means to the member who does not do adequate diligence. The panel will also discuss the CBOE circular regarding CPO/CTA exemptions, the annual certification process for such exemptions and the CFTC proposal that all registrants must be NFA members.

Co-Moderators:

Maureen Guilfoile, Managing Director & General Counsel, ABN AMRO Clearing Chicago
Eric Kunkes, Executive Director & Assistant General Counsel, J.P. Morgan Securities

Speakers:

Susan Ervin, Partner, Davis Polk & Wardwell
Bill Gerlesits, Chief Compliance Officer, Newedge USA
Christian Hennion, Associate, Katten Muchin Rosenman
Michael Piracci, Director of Compliance, Agency and Derivative Services, Barclays Capital
Regina Thoele, Senior Vice President, Compliance, National Futures Association