FIA Law & Compliance Division presents

Chief Compliance Officer Bootcamp

October 24, 2011
1:00 – 5:00 PM

Barclays Capital Inc.
745 Seventh Avenue
New York, NY 10019

Registration will close October 20th

This program will provide an in-depth exploration of the role of the Chief Compliance Officer (“CCO”) of a Swap Dealer, Security-Based Swap Dealer, Major Swap Participant, Major Security-Based Swap Participant, Futures Commission Merchant and Broker-Dealer under Dodd-Frank. The statute requires each entity registered in these capacities to appoint a CCO and provides the CCO with specified responsibilities, which have been further elaborated on through proposed rules issued by the CFTC and SEC. The program will examine the overall role of the CCO in the Dodd-Frank regulatory scheme, the changes in the focus of the CCO position effected by Dodd-Frank and the evolving nature of this position, the structure of the compliance operation mandated by Dodd-Frank and the specific authority and responsibilities given to CCOs under the statute and the proposed rules, such as oversight of the compliance program, conflicts management, surveillance systems, Whistleblower issues and more. In addition to the types of regulated entities listed above, other market participants, regardless of whether they are subject to registration, will be required to comply with a variety of the Dodd-Frank requirements and will need to understand the role of the CCO, and may find it advisable to appoint their own CCOs.

Besides Legal and Compliance personnel servicing firms impacted by Dodd-Frank we encourage those not regulated to come and learn about the responsibilities of CCOs in light of the increased regulatory requirements (record keeping, reporting, position limits, Whistleblower, etc.).

Application for approval for this course or program is pending with the Virginia Mandatory Continuing Legal Education Board. If approved CLE credits for Virginia and New York will be available.

Registration | Program