This session will address compliance issues relating to U.S. and non-U.S. laws and regulations applicable to conducting a global business, including a discussion of the obligation of firms to have effective compliance programs. Emphasis will be given to recent regulatory developments in Canada and the European Union, as well as the many legal challenges of obtaining access to foreign markets. Additional topics to be discussed include cross-border compliance, supervision issues and conflicting U.S. and non-U.S. requirements (e.g., FBOT doing business in the U.S.) for intermediaries (including FCMs, Broker-Dealers and their affiliates).
Eric Kunkes, Executive Director & Assistant General Counsel, J.P. Morgan Futures
Anthony Belchambers, Chief Executive, Futures & Options Association
Ann Cresce, General Counsel & Head of Compliance, Hong Kong Mercantile Exchange
Terence Doherty, Senior Associate, Stikeman Elliott
Patricia Keller, European Chief Compliance Officer, MF Global UK Limited
Jacqueline Mesa, Director, Office of International Affairs, Commodity Futures Trading Commission