BALTIMORE B
This session will address the many legal and
compliance issues faced by firms doing business in
global markets. Topics to be discussed include
cross-border compliance and supervision issues,
electronic trading and order routing issues (client
training and awareness), U.S. and foreign requirements
for intermediaries, recent developments in
U.S. (Section 312 due diligence and CIP) and UK AML requirements (3rd Money
Laundering Directive, new UK guidance notes),
the Markets in Financial Instruments Directive
(MiFID) (impact on commodity trading, increased
transparency requirements, development of a single
EU market and harmonized regulation).
Moderator:
Bruce Beatus, Senior Vice President and General Counsel, Calyon Financial Panelists:
Julie Copeland, First Vice President, Global AML Officer, Merrill Lynch
David Mitchell, Partner, Cadwalader, Wickersham & Taft
Betty Santangelo, Partner, Schulte Roth & Zabel
Steven Thomas, Head of Compliance, Calyon Financial SNC London
Mark Topfer, Partner, Norton Rose
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