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FIA Law and Compliance Division Presents:
Conference on the Regulation of Futures, Derivatives and OTC Products
Thursday, May 14, 2009 at 8:30 AM
5. New Account Documentation: Effective Negotiation

Baltimore Ballroom 1/2


While we all know the standard language in a customer agreement, how does one deal with a difficult negotiation? In negotiating changes to a standard clause, which ones would pose a regulatory or compliance issue if significantly amended or deleted, and which ones would pose a significant shifting of risk as between the intermediary and the customer? This session will discuss the regulatory and legal risk issues to be addressed as part of the new account opening process, including CFTC, exchange and NFA requirements, bankruptcy issues, and capacity and authority requirements. What happens in an enforcement action or a civil litigation without a standard clause? This discussion will be a refresher for some, centering around current case law and the legal basis for what is generally found in customer agreements.

Tammy Botsford, Vice President & Assistant General Counsel, Futures Industry Association
Maureen Guilfoile, Director & Senior Counsel, Merrill Lynch Pierce Fenner & Smith

Tracey Jordal, Senior Vice President & Attorney, Pacific Investment Management Company
Christian Kemnitz, Partner, Katten Muchin Rosenman
David Mitchell, Partner, Fried, Frank, Harris, Shriver & Jacobson

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