National Harbor 10/11

Distinguished panelists and the audience will have an opportunity to review the resolution of practical day to day issues dealt with by compliance and legal personnel of exchanges, clearing houses, FCMs, IBs and CPOs and CTAs, including a review of last year’s legal and regulatory developments and a spotlight on unique issues related to e-trading. This panel is intended for persons unfamiliar with futures, as well as experienced veterans who may be seeking a quick refresher on basics.

Moderators:
Gary DeWaal, Senior Managing Director and Global General Counsel, Newedge USA
Ronald Filler, Professor of Law, New York Law School

Speakers:
Joseph Adamczyk, Director, Enforcement Counsel, CME Group
Paul Architzel, Partner, Alston Bird
Jessica Bertoldi, Chief Compliance Officer & Assistant General Counsel, ICE Trust U.S.
Trabue Bland, Director of Regulatory Affairs, IntercontinentalExchange
Yvonne Downs, Head of Compliance Americas, Newedge USA
Daniel Driscoll, Chief Operating Officer, National Futures Association
Scott Early, Partner, Foley Lardner
Kevin Foley, Partner, Katten Muchin Rosenman
Maureen Guilfoile, Director and Senior Counsel, Bank of America
Dennis Klejna, Senior Vice President and Assistant General Counsel, MF Global
Nancy Minett, Director, General Investigations, CME Group
Catherine Napolitano, Director & Associate General Counsel, Bank of America
Stephen Obie, Acting Director, Division of Enforcement, Commodity Futures Trading Commission
Lawrence Patent, Of Counsel, K&L Gates
William Penner, Deputy Director, Compliance and Registration, Commodity Futures Trading Commission
Christine Pham, Senior Vice President & Assistant General Counsel, Citigroup Global Markets
Timothy Plews, Partner, Clifford Chance
Stephen Ratner, Partner, Proskauer Rose
John Roeser, Assistant Director, Division of Trading and Markets, U.S. Securities & Exchange Commission
Thomas Sexton, General Counsel, National Futures Association
Grace Vogel, Executive Vice President, Member Regulation, Financial Industry Regulatory Authority