9:00 a.m. Exchange Plans
Moderator: John Davidson, Managing Director, Morgan Stanley
Security futures exchanges will have the opportunity to share their launch plans, product information on single stock and narrow-based indices, and fee information.
Speakers: Tom Ascher, Chief Executive Officer, Nasdaq Liffe Markets and Peter Borish, Senior Managing Director, OneChicago
9:30 a.m. Getting Your Staff and Customers Ready to Trade
Moderator: William McCoy, Executive Director, Morgan Stanley
This session will cover internal issues such as registration of firm personnel, the mechanics of opening client accounts, due diligence, training, advertising materials, research and other customer communications. It will also cover what the customer needs to know, disclosure documents and suitability. Information will be provided for both the securities and futures sides of the firm.
Speakers: Michael Foley, Attorney, Katten Muchin Zavis Rosenman
Alan Lawhead, Director-Associate General Counsel, NASD Regulatory Policy and Oversight
William Pomierski, Partner, McDermott, Will & Emery
Regina Thoele, Managing Director, National Futures Association
10:45 a.m. Coffee
11:00 a.m. Trading Rules: Order Handling & Execution
Moderator: Georgia Bullitt, Executive Director, Morgan Stanley
This session will cover best execution and non fungibility issues, cross-margining, position limits, the locate rule, trading halts, large trader reporting, front running, block trading, exchange for physicals, and other SRO rules.
Speakers: Onnig Dombalagian, Attorney Fellow, Securities and Exchange Commission
Kathleen Hamm, Senior Vice President, Nasdaq Liffe Markets
Alan Lawhead, Director-Associate General Counsel, NASD Regulatory Policy and Oversight
John Lawton, Deputy Director and Chief Counsel, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission
Thomas Sexton, General Counsel, National Futures Association
Eric Wolff, Managing Director, Chicago Mercantile Exchange |
12:15 p.m. Pick up a Box Lunch
12:30 p.m. Customer Accounts & Reporting
Moderator: Anthony Leitner, Managing Director, Goldman, Sachs & Co.
Whose rules apply? This session will cover margin rules, trade confirmations, NFA/NASD/Sec. 31 fees, SIPC vs. segregation booking choices and consequences, customer statements and confirmations, and the SEC's no action letter on foreign products.
Speakers: Onnig Dombalagian, Attorney Fellow, Securities and Exchange Commission
Ira Krulik, Director, Credit Suisse First Boston Corporation
Alan Lawhead, Director-Associate General Counsel, NASD Regulatory Policy and Oversight
John Lawton, Deputy Director and Chief Counsel, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission
Thomas Sexton, General Counsel, National Futures Association
1:45 p.m. Break
2:00 p.m. Operations: Clearing & Settlement
Moderator: John Davidson, Managing Director, Morgan Stanley
This session will examine clearing interfaces with OCC and CME, corporate actions, give-ups, deliveries, testing plans and other critical issues plaguing operations professionals about these new products.
Speakers: Mark Baumgardner, Vice President, Options Clearing Corporation
Janet Lobacz, Product Manager, SunGard Futures Systems
Dale Michaels, Director, Risk Management, Chicago Mercantile Exchange Inc.
John Munro, Senior Vice President, Product Development, Rolfe & Nolan
Ira Krulik, Director, Credit Suisse First Boston
3:30 p.m. Question & Answer Session
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