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2016 Program


Thursday, October 20, 2016 at 2:15 PM

T2:15C What Clients Need to Know About the Changing E-trading Rules

Continental A
Electronic trading used to be considered one of the easiest ways that an FCM could do business, especially when it was a simple as “point-and-click” using a screen that the FCM provided and had total control over. However the landscape has changed, and the buy-side is using a variety of trading tools that they either develop themselves or are provided by 3rd party vendors and brokers. With the evolution of trading tools comes an evolution of e-trading rules, covering everything from identifying traders and operators of an ATS, keeping audit trails, calculating message ratios and prohibiting disruptive practices. Not only do FCMs that facilitate e-trading need to understand differing rules across exchanges and jurisdictions, they also need to be able to advise and monitor their clients for compliance. How does this change the way both buy-side and sell-side conduct their e-trading?

Chair:

Greg Wood, Senior Vice President, Global Industry Operations & Technology, FIA

Speakers:

Gary DeWaal, Special Counsel, Katten Muchin Rosenman
Jim Moran, Executive Director, Global Markets Regulation, CME Group
Christopher Plotner, Head of Global Execution Services, North America, ABN AMRO Clearing
Kurt Windeler, Senior Director, Market Regulation, Intercontinental Exchange