Baltimore Ballroom 1/2

This session will use hypotheticals based on practical issues of how to respond to a crisis at an intermediary such as a potentially significant regulatory breach. The issues discussed will also include situations such as the default of a clearing member, the refusal of a firm to accept a give-up, and an error on an electronic trading facility. The session will discuss which crisis issues require notification to regulatory authorities and related obligations.

Moderator:
Eileen Flaherty, General Counsel, DRW Holdings

Speakers:
Andrea Corcoran, Principal, Align International
Stacie Hartman, Partner, Schiff Hardin
Mary Irwin, Senior Counsel, Executive Director, UBS
Armand Nakkab, Executive Director, Compliance, JP Morgan Futures
Stephen Obie, Acting Director, Commodity Futures Trading Commission
Kenneth Raisler, Partner, Sullivan & Cromwell