2003 Law & Compliance Program
* Program subject to change
| Thursday, May 8, 2003 |
| 7:30 AM |
Registration |
| 7:45 AM |
Continental Breakfast |
| 8:30 AM |
SESSION 4
Broker Dealer Regulation - Part 1: From Registration to Supervision |
SESSION 5
Litigation and Enforcement Issues |
SESSION 6
Market Structure Issues |
| 10:00 AM |
Coffee Break |
| 10:15 AM |
SESSION 7
Advanced Derivatives - Part 1: Recent Developments Involving Products, Netting and Accounting Issues |
SESSION 8
Electronic Communications & Record Retention: External vs. Internal Communications, Dynegy Settlement, Instant Messaging, Record Retention/Retrieval, Retention Policies and Litigation Implications |
SESSION 9
International Clearing & Collateral Issues |
| 12:00 PM |
SESSION 10
Lunch |
| 2:00 PM |
SESSION 11
International Developments and Significant Compliance Issues |
SESSION 12
Developments in the Energy Markets |
SESSION 13
Advanced Derivatives - Part 2: Risk Management Issues |
| 3:30 PM |
Coffee Break
Sponsored by Prime Associates, Inc. |
| 3:45 PM |
SESSION 14
Broker Dealer Regulation-Part 2 |
SESSION 15
Joint CFTC/SEC Issues: Joint Regulation of SFPs, Good Control Locations For Customer Funds, Foreign Security Indices/Foreign SFPs, Portfolio Margining |
SESSION 16
Anti-Money Laundering: Current Developments, Patriot Act Compliance, Cross-Border Issues, Proposed Rules for Hedge Funds, Surveillance Procedures and Technology, Regulatory AML Oversight Programs |
| 6:00 PM |
Improv Comedy Club |
