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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
Friday, May 15, 2009 at 8:30 AM
13. EFP, EFS, EFRs, APOs and BLOCKs- The ABCs of Transaction Execution

Annapolis Ballroom 1/2

 

This panel will cover the basic regulatory requirements of order handling and trade execution, with an emphasis on cross trades, pre-execution discussions, block trades, EFPs, EFSs, and bunched orders, as well as issues and requirements particular to orders that will be executed electronically versus “in the pit.” The panel will also discuss CFTC Rule 1.38 and Core Principle 9, as well as other CFTC and exchange initiatives relating to “non-competitive” transactions.


Moderators:
Thomas Cohen, US Chief Compliance Officer, MF Global
Christine Pham, Senior Vice President & Counsel, Citigroup Global Markets

Speakers:
Joseph Hawrysz, Director, Market Surveillance, CME Group
Donald Horwitz, Managing Director, General Counsel & Secretary, OneChicago
Thomas LaSala, Managing Director, NYMEX Chief Regulatory Officer, CME Group
Alan Seifert, Derivatives Regulatory Consultant
Adam Wernow, Director, Deutsche Bank Securities

2001 Pennsylvania Avenue N.W.
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Washington, D.C. 20006
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