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L&C 2017 Program

May 3-5, 2017 // Omni Shoreham Hotel // Washington, DC


Thursday, May 4, 2017 at 2:45 PM

11. Surveillance for Disruptive Trading and Other Potential Regulatory Problems

Ambassador Ballroom
In recent years, the CFTC has indicated a renewed emphasis on monitoring for market manipulation, as evidenced by recent enforcement actions. This session will discuss these enforcement actions and provide practical guidance on strategies FCMs and Swap Dealers can employ to detect disruptive trading and other prohibited practices, as well as challenges faced in building effective monitoring and surveillance programs.

Moderator:

Scott Taylor, Managing Director, Compliance, Wells Fargo Securities

Speakers:

Blake Brockway, Assistant General Counsel & Vice President, Bank of America Merrill Lynch
Rosario Chiarenza, Executive Director, Legal & Compliance Division, Morgan Stanley
Jason Fusco, Assistant General Counsel, Market Regulation, ICE Futures U.S.
Steve Obie, Partner, Jones Day
Felicia Rector, Head of Americas Securities Division Compliance, & Chief Compliance Officer, Goldman Sachs
Corey Traub, Executive Director, Futures & Global Financing Services Compliance, UBS