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L&C 2014 Program


Thursday, May 8, 2014 at 4:00 PM

14. Risk Reports and Risk Disclosure for FCMs and Swap Dealers

Harborside D/E

This panel will discuss the new rules on risk disclosure, risk reporting, and risk program documentation, including the challenges in implementing the collection of data across a firm and confidentiality concerns. The panel will also consider the parameters of operational risk and what impact this reporting has for public companies.

Moderator:

Robert Klein, Managing Director & Counsel, Citigroup Global Markets

Speakers:

Shuna Awong, Director, OTC Derivatives, National Futures Association
Kathleen Cawley, Director & Compliance Executive, Bank of America Merrill Lynch
Colin Lloyd, Associate, Cleary Gottlieb Steen & Hamilton
Kevin Piccoli, Deputy Director, Examinations, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission
Erik Remmler, Deputy Director, Registration and Compliance, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission
Jeffrey Robins, Partner, Financial Services Group, Cadwalader Wickersham & Taft