Annapolis Ballroom 3/4
This session will address compliance issues relating to Anti-Money Laundering Rules, OFAC, FCPA and other U.S. and non-US laws and regulations applicable to conducting a global business, including a discussion of the obligation of firms to have effective compliance programs. The panel will also discuss developments, particularly in Canada and the European Union, to harmonize regulatory approaches, as well as the many legal challenges of obtaining access to emerging markets outside the United States. Topics to be discussed include cross-border compliance, supervision issues, and conflicting US and non-US requirements (e.g., FBOT doing business in the US) for intermediaries (including FCMs, Broker-Dealers and their affiliates), doing business in emerging markets.
Michelle Broom, Managing Director, Treasury & Commodities Compliance, Macquarie Futures USA
Robert Finney, Partner, Financial Markets, Denton Wilde Sapte
Christopher Fowles, Partner, Torys
Jacqueline Mesa, Director, Office of International Affairs, Commodity Futures Trading Commission
Richard Parlour, Principal, Financial Markets Law International
Richard Seaman, Director, Compliance & Legal, MF Global UK Limited