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    Compliance Intelligence L&C 2014
FIA Law and Compliance Division Presents:
Conference on the Regulation of Futures, Derivatives and OTC Products
Wednesday, May 13, 2009 at 2:30 PM
1. S2N: Jeopardy Version (Part 1)

Woodrow Wilson Ballroom BCD

Through a game-show format, distinguished panelists and the audience will have an opportunity to review the resolution of practical day to day issues dealt with by compliance and legal personnel of exchanges, clearing houses, FCMs, IBs and CPOs and CTAs, including a review of last year’s legal and regulatory developments and a spotlight on unique issues related to e-trading. Issues emanating from the financial crisis of 2008 will especially be included. This panel is intended for persons unfamiliar with futures, as well as experienced veterans who may be seeking a quick refresher on basics.


Moderators:
Gary DeWaal, Senior Managing Director & Global General Counsel, Newedge
Ronald Filler, Professor of Law & Director, Financial Services Law, New York Law School
William McCoy, Managing Director, Morgan Stanley

Speakers:
Daniel Driscoll, Executive Vice President & Chief Operating Officer, National Futures Association
Scott Early, Partner, Foley & Lardner
Susan Ervin, Partner, Dechert
Maureen Guilfoile, Director & Senior Counsel, Merrill Lynch Pierce Fenner & Smith
Rosemary Hollinger, Chicago Regional Counsel, Commodity Futures Trading Commission Division of Enforcement
Donald Horwitz, General Counsel, OneChicago
Dennis Klejna, Senior Vice President, MF Global
Gregory Kuserk, Deputy Director, Commodity Futures Trading Commission
Beverly Loew, Assistant General Counsel, Commodity Futures Trading Commission
Nancy Minett, Director, Investigations, CME Group
Ira Polk
William Penner, Deputy Director, Compliance & Registration, Commodity Futures Trading Commission
Steve Ratner, Partner, Proskauer Rose
John Roeser, Assistant Director, Division of Trading & Markets, Securities Exchange Commission
Kenneth Rosenzweig, Partner, Katten Muchin Rosenman
Thomas Sexton, Vice President, Secretary General Counsel, National Futures Association
Robert Sniegowski, Association Director, Market Regulation, Chicago Mercantile Exchange
Grace Vogel, Executive Vice President, Member Regulation, Financial Industry Regulatory Authority

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Washington, D.C. 20006
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