Conference on the Regulation of Futures, Derivatives and OTC Products
National Harbor, Maryland
Mr. Waldman will participate in the session entitled Litigation and Enforcement on Friday, May 15, at 8:30 a.m.
This session will summarize significant futures and derivatives industry case law and enforcement actions since May 2008. The panel will discuss whether futures and derivatives industry participants should consider changing how they operate in light of these actions.
Ms. Rendón will participate in the session entitled How to Maintain a Compliance Culture in a Declining Profits Environment on Friday, May 15, at 10:30 a.m.
This session will discuss the challenges of developing an effective compliance program as Firms are under pressure to cut costs across the board. The panel will discuss where the compliance department belongs in an organization: reporting to a chief risk officer, a general counsel or the chief executive officer. How effective is the use of technology to provide for training of employees compared to tailored, in-person compliance training programs? Do regulators and/or the firms themselves have concerns that there has been a general decline in ethics among financial services personnel?