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L&C 2010 Program
Friday, April 30, 2010 at 8:30 AM
13. A Futures Compliance Update

Woodrow Wilson B

This panel will discuss recent changes in the regulations regarding various types of transactions, including: EFFs, EFPs, EFRs, Block Trades, and Order Handling Rules related to open outcry versus electronic executions. It will also discuss what the parameters for establishing the prices of these transactions may be (i.e., APS/market versus daily trading limits). The panel will also discuss what tools firms and exchanges, alike, use to monitor trading activity and the open positions that result from that trading. Additionally, it will discuss the training of traders, middle and back office alike, on these rules.


Moderator:
Yvonne Downs, Head of Compliance Americas, Newedge USA

Speakers:
Edward Dasso, Manager, Market Regulation, IntercontinentalExchange
Dean Payton, Managing Director and Deputy Chief Regulatory Officer, CME Group
Mary Beth Rooney, Director of Compliance of North American Futures, Citigroup Global Markets
Kathryn Trkla, Partner, Foley Lardner

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