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2010 Futures & Options Expo Program

Thursday, November 4, 2010 at 1:00 PM
T1:00A FIA Chicago presents New Customer Data Requirements: Building an OCR Database
 
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Continental A, Lobby Level

The Commodity Futures Trading Commission has proposed rules to collect certain ownership, control and related information for all trading accounts active on U.S. futures exchanges. This is an unprecedented amount of information- including data that exists in different places within a firm in a variety of formats (hardcopy and electronic) and data that is not currently collected. How is the industry preparing to collect this type of data and deliver it to the reporting entity? Where are the sticking points in comparing the data points with the daily trade register?


Chair:
Yvonne Downs, Head of Futures, Commodities and Swap Execution Facilities Compliance, ICAP North America

Speakers:
Tammy Botsford, Vice President & Deputy General Counsel, Penson GHCO
Mark Fabian, Vice President, Market Regulation, ICE Futures U.S.
Alun Green, General Manager, SunGard
James Moran, Global Director, Market Regulation Strategies & Technology, CME Group
Robert Paul, Executive Director, Nomura Securities International
Raymond Tubridy, Managing Director, Derivatives Sales and Marketing and Product Development, State Street Global Markets

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