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FIA Law and Compliance Division Presents:
Conference on the Regulation of Futures, Derivatives and OTC Products
Friday, May 15, 2009 at 10:30 AM
17. Mitigating Direct Market Access and Other Electronic Trading Risk

Annapolis Ballroom 3/4

 

This session will review the approach to documenting e-trading relationships and direct market access, as well as the potential liability of participants when systems go down. There will be a discussion regarding the controls in trading systems and the legal and practical implications of compliance and risk monitoring by an intermediary that provides a front-end trading system or direct links between a customer and an exchange. There will also be a discussion of the exchange’s and an intermediary’s duty to train customers in the use of electronic trading systems.


Moderator:
Carl Gilmore, General Counsel, Penson GHCO

Speakers:
James Moran, Director, Market Regulation, CME Group
Mike Ryan, General Counsel, Trading Technologies
Kathryn Trkla, Partner, Foley & Lardner
Gloria Wadsworth, Compliance Director, Merrill Lynch Pierce Fenner & Smith

2001 Pennsylvania Avenue N.W.
Suite 600
Washington, D.C. 20006
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