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2003 Law & Compliance Program

* Program subject to change
                Wednesday, May 7, 2003
12:00 PMRegistration
2:30 PMSESSION 1
The Best Regulation
4:00 PMCoffee Break
4:15 PMSESSION 2
SESSION 3
Introduction to Derivatives
 
                Thursday, May 8, 2003
7:30 AMRegistration
7:45 AMContinental Breakfast
8:30 AMSESSION 4
Broker Dealer Regulation - Part 1: From Registration to Supervision		SESSION 5
Litigation and Enforcement Issues		SESSION 6
Market Structure Issues
10:00 AMCoffee Break
10:15 AMSESSION 7
Advanced Derivatives - Part 1: Recent Developments Involving Products, Netting and Accounting Issues 		SESSION 8
Electronic Communications & Record Retention: External vs. Internal Communications, Dynegy Settlement, Instant Messaging, Record Retention/Retrieval, Retention Policies and Litigation Implications		SESSION 9
International Clearing & Collateral Issues
12:00 PMSESSION 10
Lunch
2:00 PMSESSION 11
International Developments and Significant Compliance Issues		SESSION 12
Developments in the Energy Markets		SESSION 13
Advanced Derivatives - Part 2: Risk Management Issues
3:30 PMCoffee Break
Sponsored by Prime Associates, Inc.
3:45 PMSESSION 14
Broker Dealer Regulation-Part 2 		SESSION 15
Joint CFTC/SEC Issues: Joint Regulation of SFPs, Good Control Locations For Customer Funds, Foreign Security Indices/Foreign SFPs, Portfolio Margining		SESSION 16
Anti-Money Laundering: Current Developments, Patriot Act Compliance, Cross-Border Issues, Proposed Rules for Hedge Funds, Surveillance Procedures and Technology, Regulatory AML Oversight Programs
6:00 PMImprov Comedy Club
 
                Friday, May 9, 2003
7:30 AMRegistration
7:45 AMContinental Breakfast
8:30 AMSESSION 17
Regulatory Examination Priorities for 2003		SESSION 18
Legal Ethics 		SESSION 19
Electronic Trading, Order Handling & Trade Execution
10:00 AMCoffee Break
10:15 AMSESSION 20
Developments in Asset Management: CFTC Exceptions For CPOs and CTAs; CFTC Roundtable Follow-up; Notional Funds; SEC Hedge Fund Rule Review and Examination Program; Structured Products		SESSION 21
Worst Case Scenario – Survival Guide For A Crisis
11:45 AMWorkshop Adjourns
12:00 PMGolf Tournament
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