Changes in business practices have posed new challenges for compliance and legal professionals. Our panel of experts will give an update of several key CFTC and FSA enforcement practices and discuss potential areas of government and private litigation risk. Topics include U.S.-style "speaking" settlement orders, prohibition orders, litigating terms in customer agreements, vicarious liability, registration of directed trading programs and control of correspondents. How can firms mitigate their reputational risk in an increasingly litigious environment?
Speakers:
Chris Brennan, Legal & Compliance Director,
Cube Financial
Dorian Drew, Associate, Norton Rose
Dennis Klejna, Executive Vice President and General Counsel, Refco LLC
Simon Morris, Partner, CMS Cameron McKenna |
