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L&C 2014 Program

Friday, May 9, 2014 at 8:30 AM

17. Registration and Beyond

Harborside D/E

This panel will look at recent developments in individual/ AP designations in the post-SEF world and entity registrations, both domestically and globally, and consider some of the ongoing consequences of registration / designation. Topics will include: conflicts and other challenges related to agency execution on SEFS, the various categories of swaps firm/ swap dealer registration (including limited purpose designations), top tips to help firms prepare for a potential NFA audit, and the dilemmas faced by those who dare to venture outside the U.S.


Alexandra Guest, Chief Compliance Officer (FCM) & Global Head of Agency Derivatives Services Compliance, Barclays Capital


Christian Artmann, Director & Senior Counsel, Deutsche Bank
Belinda Blaine, Head of Compliance Regulatory Policy & Strategy, Morgan Stanley
Michael Brosius, Director, OTC Derivatives, National Futures Association
Athena Eastwood, Partner, Cadwalader Wickersham & Taft
Julian Hammar, Of Counsel, Morrison & Foerster
Scott Taylor, Managing Director, Compliance, Wells Fargo Securities