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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 |
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| | 2001 Pennsylvania Avenue N.W.
Suite 600
Washington, D.C. 20006 | Powered by
KVENTURES | (202) 466-5460
(202) 296-3184 fax
www.futuresindustry.org | |
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