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L&C 2017 Program

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

* Program subject to change

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Wednesday, May 3, 2017

11:00 AM

Registration Opens

1:00 PM—
6:00 PM

Exhibits Open

2:00 PM

1. Memory Lane: Those Who Forget History are Doomed to Repeat It

Regency Ballroom
Join us for exciting stories about manipulative schemes and fraud, disappearing brokerage firms, evolving business practices and regulatory actions, and so much more, as we take a dynamic look back at our industry and how we got to where we are today.

Moderators:
Gary DeWaal, Special Counsel, Katten Muchin Rosenman
Kim Johns, Vice President & Associate General Counsel, Goldman Sachs

Speakers:
Dan Berkovitz, Partner, WilmerHale
Andrea Corcoran, Founding Principal, Align International
Dan Driscoll, Executive Vice President & Chief Operating Officer, National Futures Association
Laurie Ferber, Executive Vice President & General Counsel, MF Global Holdings
Ronald Filler, Professor of Law and Director of Financial Services Law Institute, New York Law School
Clark Hutchison, Managing Director & Global Head, Listed Derivatives & Markets Clearing, Deutsche Bank
Dennis Klejna
Anthony Leitner, Managing Member, A J Leitner and Associates
Greg Mocek, Partner, Allen & Overy
Thomas Russo, Former Executive Vice President & General Counsel, AIG
Howard Schneider, Senior Consultant, Charles River Associates
Thomas Sexton, President & Chief Executive Officer, National Futures Association

3:45 PM

Refreshment Break

Birdcage Walk
4:15 PM

2. Where Are We Going?

Regency Ballroom
With the Administration reexamining Dodd-Frank, this session will examine potential legislative changes to the Commodity Exchange Act and regulatory changes to CFTC regulations.

Moderator:
Ken Raisler, Partner, Sullivan & Cromwell

Speakers:
Trabue Bland, President, ICE Futures U.S.
Mike Gill, Chief of Staff, Office of Acting Chairman J. Christopher Giancarlo, Commodity Futures Trading Commission
Patricia Levy, General Counsel, DRW Trading Group
Walt Lukken, President & Chief Executive Officer, FIA
Richard Ostrander, Managing Director, Legal & Compliance Department, BlackRock

6:00 PM

Opening Reception

Empire Patio (Outdoor terrace from the Empire Room)
Connect with friends, colleagues and fellow regulatory enthusiasts at the Opening Reception directly following the last session.
6:00 PM

Exhibits Close

Thursday, May 4, 2017

7:30 AM

Registration Opens

7:45 AM

3. One Bite of the Apple: Breakfast with the CFTC Directors

Regency Ballroom
Want to know what is happening at the CFTC?  Want to know what to expect from the Staff?  Want to know how much coffee a Division Director drinks?  Take advantage of this unique opportunity to hear directly from the CFTC’s Division Directors over breakfast.  

Moderator:
Kim Johns, Vice President & Associate General Counsel, Goldman Sachs

Speakers:
Daniel Davis, General Counsel, Commodity Futures Trading Commission
Eileen Flaherty, Director, Division of Swap Dealer & Intermediary Oversight, Commodity Futures Trading Commission
John Lawton, Acting Director, Division of Clearing & Risk, Commodity Futures Trading Commission
James McDonald, Director, Division of Enforcement, Commodity Futures Trading Commission
Eric Pan, Director, Office of International Affairs, Commodity Futures Trading Commission
Amir Zaidi, Director, Division of Market Oversight, Commodity Futures Trading Commission

8:00 AM—
4:00 PM

Exhibits Open

9:30 AMConcurrent Session

4A. Derivatives 101

Empire Room
This session is meant to provide basic education to newer attendees or those looking to understand the difference between a future, a swap, and an option (and perhaps talk a bit on securities). This first session will cover the properties of derivative instruments, the fundamentals of trading and nuances of the legal and regulatory environment governing each of these markets. This panel is meant to help prepare attendees for the next panel, Derivatives 102.

Moderators:
Maureen Guilfoile, Executive Director & Associate General Counsel, CME Group
Kathryn Trkla, Partner, Foley & Lardner

Speakers:
Mike Conti, Chief Legal Officer, Rosenthal Collins Group
Edward Ivey, Associate, Linklaters
Michael Philipp, Partner, Morgan Lewis
Heidi Rauh, General Counsel & Chief Compliance Officer, ICE Clear U.S.
Carol Wooding, General Counsel, National Futures Association

9:30 AMConcurrent Session

5. CFTC Manipulation Authority: Traditional and New

Ambassador Ballroom
This session will cover current CFTC and exchange approaches to manipulation, including the recent expansion of what constitutes the elements of prohibited conduct.

Moderator:
Charles Mills, Partner, Steptoe & Johnson

Speakers:
Rick Glaser, Deputy Director, Division of Enforcement, Commodity Futures Trading Commission
Aitan Goelman
David Meister, Partner, Skadden Arps Slate Meagher & Flom
Michael Spafford, Partner, Paul Hastings
Daniel Waldman, Senior Counsel, Arnold & Porter Kaye Scholer

9:30 AMConcurrent Session

6. Aggregation and Position Limits

Diplomat Room
This session will address the status of position limits in both the US and EU, including challenges in implementing the CFTC’s Final Aggregation Rule, key issues in the CFTC’s Re-proposed Position Limits Rule, the technical standards established by ESMA under the EU’s MiFID II Position Limit regime, and the status of position limit implementation in EU member states. Consideration will also be given to exchange implementation of position limits and revised aggregation standards in the US and EU, as well as challenges faced by market participants with a global presence.

Moderator:
Bill McCoy, Managing Director, Legal & Compliance Division, Morgan Stanley

Speakers:
Kara Dutta, Assistant General Counsel, Intercontinental Exchange
Tom LaSala, Managing Director, Chief Regulatory Officer, CME Group
Paul Pantano, Partner, Willkie Farr & Gallagher
Victoria Sharp, Managing Director & General Counsel, Citigroup
Stephen Sherrod, Senior Economist, Commodity Futures Trading Commission

10:15 AMConcurrent Session

4B. Derivatives 102

Empire Room
This session will continue on where Derivatives 101 left off, and discuss the operational process of clearing each type of derivative, what is margin and the obligations of clearing members.

Moderators:
Maureen Guilfoile, Executive Director & Associate General Counsel, CME Group
Kathryn Trkla, Partner, Foley & Lardner

Speakers:
Mike Conti, Chief Legal Officer, Rosenthal Collins Group
Edward Ivey, Associate, Linklaters
Michael Philipp, Partner, Morgan Lewis
Heidi Rauh, General Counsel & Chief Compliance Officer, ICE Clear U.S.
Hugh Rooney, Assistant Director, Division of Clearing & Risk, Commodity Futures Trading Commission

11:00 AM

Refreshment Break

Birdcage Walk
11:30 AMConcurrent Session

7. Enforcement Overview

Empire Room
This session will focus on significant enforcement developments in our industry, including actions by the Commission and exchanges in the areas of swap dealer reporting, spoofing and other disruptive trading, commodity insider trading and FCM liability for clients’ conduct.  This session will also discuss the new CFTC Enforcement Advisory on Cooperation.

Moderator:
Stacie Hartman, Partner, Schiff Hardin

Speakers:
Joseph Ajibesin, Executive Director, Nomura
Christian Kemnitz, Partner, Katten Muchin Rosenman LLP
James McDonald, Director, Division of Enforcement, Commodity Futures Trading Commission
Steven Schwartz, Executive Director, Global Head of Enforcement, CME Group

11:30 AMConcurrent Session

8. Commercial and Financial End-User Issues

Ambassador Ballroom
This session will provide an overview of regulatory and compliance issues confronted by commercial and financial end-users when trading in the derivatives markets. Specifically, the session will cover common compliance gaps related to reporting to the CFTC and exchanges. The panel will also highlight recent enforcement cases that have been brought against end-users and the key compliance takeaways from those cases. Finally, this session will also discuss current swap regulation impacting end users and potential regulatory reform.

Moderator:
Michelle Broom, Executive Director, Risk Management Group, Compliance, Macquarie Group; and Swap Dealer Chief Compliance Officer, Macquarie Bank Limited, Macquarie Energy

Speakers:
Stephan Ariyan, Vice President & Chief Compliance Officer, Olam International
Bryan Dierlam, Director, Government Relations, Archer Daniels Midland Company
Stephen Humenik, Of Counsel, Covington & Burling
Amir Zaidi, Director, Division of Market Oversight, Commodity Futures Trading Commission

11:30 AMConcurrent Session

9. Developments in AML

Diplomat Room
This session will review basic AML obligations. This session will also discuss recent developments in AML, including looming FINCEN customer due diligence (CDD) requirements and suspicious activity report obligations related to cyber security breaches.  

Moderator:
Tammy Botsford, Executive Director & Assistant General Counsel, J.P. Morgan

Speakers:
Steven Gitlin, Executive Director, Global Financial Crimes Compliance, J.P. Morgan
Jeremy Kuester, Deputy Associate Director, Policy Division, FinCEN
Julie Mao, Director & Counsel, Credit Suisse Securities
Valerie O'Malley, Director, Compliance Department, National Futures Association
Betty Santangelo, Partner, Schulte Roth & Zabel

1:00 PM

Keynote Lunch

Regency Ballroom
Dan Abrams is the CEO and Founder of Abrams Media and the Chief Legal Affairs Anchor for ABC News and was previously the co-anchor of Nightline. Prior to 2011, Dan was at NBC News for 15 years as, among other things, a reporter for NBC Nightly News, host on MSNBC, and Chief Legal Correspondent for NBC News. From 2006 to late 2007, Dan served as General Manager of MSNBC, where he presided over a period of unprecedented growth, with ratings and profits each increasing well over 50% during his tenure. During that time Dan was also a member of the NBC Universal President's Council. He also hosted "The Abrams Report", a nightly legal affairs program, and the acclaimed "Verdict with Dan Abrams". A graduate of Columbia University Law School, Dan is also a recognized writer. He has published articles in the New York Times, Wall Street Journal, Newsweek, The Yale Law and Policy Review, The Huffington Post, The Daily Beast, and Mediaite.com, among many others. In 2011, he published his first book, "Man Down: Proof Beyond A Reasonable Doubt That Women Are Better Cops, Drivers, Gamblers, Spies, World Leaders, Beer Tasters, Hedge Fund Managers, and Just About Everything Else,"which made the Washington Post bestseller list. Dan is the founder of eight web properties including: Mediaite, a news and media website; Runway Riot, a fashion site for women of all sizes; The Mary Sue, covering tech and geek culture, and LawNewz, a which covers crime and legal news.  Together, the Abrams Media Network serves close to 15 million unique visitors per month.

Speaker:
Dan Abrams, Chief Legal Affairs Anchor, ABC News, and Founder & CEO, Abrams Media Network

2:45 PMConcurrent Session

10. The Ins and Outs of Customer Asset Protection

Empire Room

Customer asset protection is a cornerstone of the U.S futures industry. This session will explain the basics of CFTC customer asset protection, why it works, how it impacts customers and FCMs, and what could make it go wrong. This session will also discuss recent developments in Europe.

Moderator:
Bonnie Litt, Managing Director & Associate General Counsel, Goldman Sachs

Speakers:
Eileen Flaherty, Director, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission
Kevin Foley, Partner, Katten Muchin Rosenman
Sandra McCarthy, Chief Compliance Officer, FCM Division, INTL FCStone
Deborah North, Partner, Allen & Overy

2:45 PMConcurrent Session

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

2:45 PMConcurrent Session

12. Asset Management

Diplomat Room
This session will review a potpourri of issues related to managed money through a review of CFTC, NFA and SEC initiatives that impact CPOs and CTAs, including CFTC and exchange position limit aggregation rules, recent no-action letters, proposed amendments to CFTC Rule 1.31, NFA’s new financial ratio reporting requirement, the Reg AT Supplement, as well as potential areas of interest of the new administration.

Moderator:
Rita Molesworth, Partner, Willkie Farr & Gallagher

Speakers:
David Mitchell, Partner, Fried Frank Harris Shriver & Jacobson
Amanda Olear, Associate Director, Managed Funds & Financial Reviews Group, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission
Lauren Teigland-Hunt, Managing Partner, Teigland-Hunt
Regina Thoele, Senior Vice President, Compliance, National Futures Association

4:00 PM

Exhibits Close

4:15 PM

Refreshment Break

Birdcage Walk
4:35 PMConcurrent Session

13A. Bankruptcy Basics: Failure is an Option - Pulling the Plug Quickly and Cleanly

Empire Room
This session will explore what is supposed to happen when an FCM insolvency “goes according to plan.” The discussion will focus on issues involved in the insolvency of a stand-alone FCM, a joint BD/FCM and a joint SD/FCM, with particular emphasis on the interplay between the Bankruptcy Code, SIPA, Part 190 of the CFTC Rules, Title II of the Dodd-Frank Act, and DCO default management procedures.  

Moderator:
Mike Otten, Executive Director, Legal, Nomura Securities International

Speakers:
Christopher Kiplok, Partner, Hughes Hubbard & Reed
Vincent Lazar, Partner, Jenner & Block
Bob Wasserman, Chief Counsel, Division of Clearing & Risk, Commodity Futures Trading Commission

4:35 PMConcurrent Session

14. Automated Trading: Now and Later

Ambassador Ballroom
What obligations do market participants have concerning automated trading? How have global regulators approached the challenges posed by faster moving markets and automated tools? How have global regulators approached regulating direct electronic access and automated trading? Where is the Regulation AT proposal headed? What is happening in Germany?

Moderator:
Allison Lurton, Senior Vice President & General Counsel, FIA

Speakers:
Jon DeBord, Senior Vice President & Assistant General Counsel, Citigroup Global Markets
James Lundy, Partner, Drinker Biddle & Reath
Aaron Miller, Vice President, Assistant General Counsel, J.P. Morgan
Ben Morof, Associate General Counsel & Chief Compliance Officer, Teza Technologies
Sebastian Pujol Schott, Associate Director, Division of Market Oversight, Commodity Futures Trading Commission
Andrew Vrabel, Executive Director, Global Investigations, CME Group

4:35 PMConcurrent Session

15. Ethics: The Good, the Bad and the Ugly

Diplomat Room
What is good behavior?  What is bad (or ugly) behavior?  Is Ethics really as simple as asking what would your Mom say?  Let's make ethics practical again.  The session will provide a whirlwind overview of the life of a senior inside and outside counsel as they both wrestle with issues emanating from a CFTC investigation of their employer, affiliates, employees and a client.

Moderator:
Maria Chiodi, Managing Director & Counsel, Legal & Compliance, Credit Suisse Securities

Speakers:
James Bernard, Partner, Stroock & Stroock & Lavan
Renato Mariotti, Partner, Thompson Coburn
Michael Piracci, Director & Chief Compliance Officer, FCM, Scotia Capital USA

5:20 PMConcurrent Session

13B. Advanced Bankruptcy: Tales from the Crypt - The Slow and Painful Demise

Empire Room
This session will focus on issues that arise when an FCM insolvency is not “quick and clean,” drawing on key lessons learned from recent high profile and particularly litigious FCM insolvencies, while  exploring the potential complications involved with LSOC accounts (cleared swaps customer collateral) and portfolio margining accounts.

Moderator:
Mike Otten, Executive Director, Legal, Nomura Securities International

Speakers:
Geoffrey Goodman, Partner, Foley & Lardner
Seth Grosshandler, Partner, Cleary Gottlieb Steen & Hamilton
Rebecca Simmons, Partner, Sullivan & Cromwell
Bob Wasserman, Chief Counsel, Division of Clearing & Risk, Commodity Futures Trading Commission

6:30 PM—
8:00 PM

Reception

Empire Patio (Outdoor terrace from the Empire Room)

Please join your fellow conference delegates as guests of the Law & Compliance Division for cocktails and heavy hors d’oeuvres before heading off to client dinners.
8:30 PM

After Party

Palladian Room, Lobby Level
Doors open at 8:30 p.m.
Enjoy a nightcap with the rockin’ tunes of the Precedents, an all-lawyer band that includes many of your colleagues. Cocktails and sweets will be served.

Friday, May 5, 2017

7:30 AM

Registration Opens

7:45 AMConcurrent Session

Breakfast Breakout: CCP Resolution & Recovery

Regency Ballroom
This breakout panel will provide an overview of CCP Recovery and Wind Down/Resolution requirements from CCP and industry perspectives. It will discuss CCP waterfalls and end of waterfall approaches. 

Moderator:
Jason Silverstein, Executive Director & Associate General Counsel, CME Group

Speakers:
Douglas Harris, Managing Director, Promontory Financial Group
William Thum, Principal, Global Head of Derivatives Legal and Regulatory, Vanguard
Michelle Weiler, General Counsel & Chief Compliance Officer, ICE Clear U.S.

7:45 AMConcurrent Session

Breakfast Breakout: Capital Requirements and Clearing: Making Banks Safer or Creating More Risk?

Regency Ballroom
This panel will explore the complexities of Basel capital and its impact on clearing. 

Moderator:
Jackie Mesa, Senior Vice President, Global Policy, FIA

Speakers:
Randy Benjenk, Associate, Covington & Burling
Sean Downey, Executive Director, Global Clearing and Risk Policy, CME Group
David Martinez, Vice President, General Counsel Department, Credit Suisse

7:45 AMConcurrent Session

Breakfast Breakout: Distributed Ledger

Regency Ballroom
This panel will discuss real life current and near-future applications of digital ledger technology (DLT), the potential opportunities and challenges DLT provides, and global regulatory efforts affecting DLT.

Moderator:
Kari Larsen, Counsel, Reed Smith

Speakers:
Jeff Bandman, FinTech Advisor, Commodity Futures Trading Commission
Kevin Batteh, Partner, Delta Strategy Group
Ian Darrow, General Counsel & Chief Compliance Officer, LedgerX
Mark Wetjen, Managing Director and Head of Global Public Policy, DTCC

7:45 AMConcurrent Session

Breakfast Breakout: Direct Funding Participant Model

Regency Ballroom
This panel will discuss the CME’s proposed Direct Funding Participant (DFP) Program, which is a new type of clearing membership designed to offer individual segregation to market participants and to avoid fellow customer bankruptcy risk by having the DFP deposit initial and variation margin directly with the CME.  The proposal will require the FCM to guarantee the DFP’s obligations to CME. The panel will discuss the DFP membership requirements for DFPs and DFP guarantors, the mechanics of the proposal and the pros and cons of the DFP program from the end-user and FCM perspectives.  The panel will compare and contrast alternative individual segregation models at Eurex and LCH.

Moderator:
Bruce Beatus, Director & Associate General Counsel, Bank of America Merrill Lynch

Speakers:
John McKinlay, Director & Associate General Counsel, CME Group
William Nissen, Partner, Sidley Austin
Greg O'Donohue, Director & Senior Legal Counsel, Derivatives, Ontario Teachers' Pension Plan
Michael Parodi, Vice President & Counsel, Credit Suisse Securities

8:00 AM—
1:00 PM

Exhibits Open

8:45 AM

Break

9:00 AMConcurrent Session

16A. Overview of European Regulations: MiFID II

Empire Room
This is the first of a two part session providing an overview of European Regulations, focusing on the unintentionally forgotten MiFID II, its requirements and how market participants should think about preparation for compliance.

Moderators:
Hina Mehta, Executive Director & Counsel, UBS
Matt VosBurgh, Vice President of Regulatory Execution, Barclays

Speakers:
Nathaniel Lalone, Partner, Katten Muchin Rosenman UK
Jonah Platt, Director, Government & Regulatory Policy, Citadel
Mitja Siraj, Vice President of Legal, Europe, FIA
John Williams, Partner, Milbank, Tweed, Hadley & McCloy

9:00 AMConcurrent Session

17. Data Data (and Records) Everywhere

Ambassador Ballroom
This session will review various existing and proposed CFTC and exchange rule requirements which involve the collection, maintenance and retention of data and records. This session will also discuss the implications of these requirements for FCMs, Swap Dealers and other market participants. 

Moderator:
David King, Director & FCM Chief Compliance Officer, Credit Suisse Securities

Speakers:
Matthew Lisle, Director & Futures Chief Compliance Officer, ABN AMRO Clearing Chicago
Peter Malyshev, Partner, Reed Smith
Janet McCormick, Executive Director, Compliance, Mizuho Securities
Takako Okada, Chief Compliance Officer, ICE Trade Vault
Dale Spoljaric, Managing Director, Compliance, National Futures Association
Greg Wood, Senior Vice President, Global Industry Operations & Technology, FIA

9:00 AMConcurrent Session

18. Non-Competitive Trading Exceptions: EFRPs, Block Trades & Transfer Trades

Diplomat Room
Join this session for a walk around the “block” to discuss the latest regulatory issues associated with exceptions to the competitive execution requirement. This session will set up the basics for block trade, EFRP, and transfer trade exceptions to competitive execution mandates and then tackle the recent regulatory developments surrounding these exceptions. 

Moderator:
Neal Kumar, Associate, Willkie Farr & Gallagher

Speakers:
Erik Haas, Director, Market Regulation, ICE Futures U.S.
Ryne Miller, Associate, Sullivan & Cromwell
Robert Sniegowski, Executive Director, Rules & Regulatory Outreach, CME Group
Alan Walkow, Vice President & Assistant General Counsel, Goldman Sachs
Melissa Zierk, Managing Director, General Counsel, R.J. O’Brien & Associates

9:45 AMConcurrent Session

16B. Overview of European Regulations: Market Abuse Directive

Empire Room
This is the second of a two part session which will discuss the Market Abuse Directive, its purpose, extraterritorial reach and specific considerations for US firms.  

Moderators:
Hina Mehta, Executive Director & Counsel, UBS
Matt VosBurgh, Vice President of Regulatory Execution, Barclays

Speakers:
Nathaniel Lalone, Partner, Katten Muchin Rosenman UK
Jonah Platt, Director, Government & Regulatory Policy, Citadel
Mitja Siraj, Vice President of Legal, Europe, FIA
John Williams, Partner, Milbank, Tweed, Hadley & McCloy

10:30 AM

Refreshment Break

Birdcage Walk
11:00 AMConcurrent Session

19. Cross Border

Empire Room
This session will examine the current state of play on substituted compliance and the CFTC's cross-border guidance and showcase cross-border issues that have come into focus in 2017 such as uncleared margin and Part 30.

Moderator:
Christian Artmann, Managing Director & Associate General Counsel, Deutsche Bank Securities

Speakers:
Waqaas Fahmawi, Director & Assistant General Counsel, Bank of America Merrill Lynch
Colin Lloyd, Partner, Cleary Gottlieb Steen & Hamilton
Eric Pan, Director, Office of International Affairs, Commodity Futures Trading Commission
Sachiyo Sakemi, Managing Director, BlackRock

11:00 AMConcurrent Session

20A. Uncleared Swaps

Ambassador Ballroom
This session will discuss a range of regulatory reforms applicable to the uncleared swaps market, including the impact of the uncleared margin rule‎, its cross border implications, as well as lessons learned from its implementation. The session will also cover other regulatory developments such as the proposed rules on mandatory contractual stays for Qualifying Financial Contracts and the European Bank Resolution and Recovery Directive, as well as the SEC’s securities-based swap rule implementation.

Moderator:
Ruth Arnould, Director & Assistant General Counsel, Bank of America Merrill Lynch

Speakers:
Tracey Jordal, Executive Vice President & Senior Counsel, PIMCO
Angie Karna, Managing Director, Legal, Nomura Securities International
Jamila Piracci, Vice President, OTC Derivatives, National Futures Association
Gabriel Rosenberg, Partner, Davis Polk
Tom Smith, Deputy Director, Capital, Margin and Segregation, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission

11:00 AMConcurrent Session

21. Crisis Management: Management of the Zombie Apocalypse

Diplomat Room
Come to this session ready to participate! This workshop will tackle a scenario that includes everything that keeps you up at night and will give you suggestions on how to respond if such things happen at your firm. A panel of industry veterans will issue spot and problem solve with the help of the audience.

Moderator:
Patricia Donahue, Senior Vice President, Chief Compliance Officer & Regulatory Counsel, Rosenthal Collins Group

Speakers:
Therese Doherty, Partner, Mintz, Levin, Cohen, Ferris, Glovsky & Popeo
Alex Guest, Consultant, HSBC
Amy McCormick, Managing Director, Compliance, National Futures Association
Kurt Windeler, Senior Director, Market Regulation, Intercontinental Exchange

11:45 AMConcurrent Session

20B. All Things FX

Ambassador Ballroom
This session will present a compressed overview of hot topics for the FX market, including the Global FX Code, treatment of FX products under US, EU, and other rules requiring margin for uncleared swaps; electronic trading of FX, including issues under the CFTC SEF rules and FX PB activity on SEF; the October flash crash; and issues around price sources and barrier options, and clearing of FX products.

Moderator:
Robert Klein, Managing Director & Counsel, Citigroup Global Markets

Speakers:
James Cain, Partner, Eversheds Sutherland
Terence Filewych, Executive Director & Counsel, UBS
Scott Reinhart, Senior Attorney, Cleary Gottlieb Steen & Hamilton
Lisa Shemie, Associate General Counsel, Bats Global Markets
Ben Snodgrass, Attorney, Banking Supervision & Markets Division, Federal Reserve Bank of New York

12:30 PM

Farewell Networking Box Lunch

1:00 PM

Exhibits Close