Dodd Frank Updates & Cross-Border Issues for Commodity Derivatives
WEDNESDAY, JANUARY 15, 2014, 10:00 AM ET
DURATION: 45 MINUTES
LISTEN TO OUR EXPERT PRESENTERS LIVE FROM YOUR OWN DESK
The webinar will cover updates on Dodd-Frank Act Title Seven developments for the commodity derivatives markets since the Capital Link conference in New York in September. Topics to be covered include the CFTC's recent proposed position limits rule, cross-border issues, CFTC enforcement trends, and updates on swap dealer registration and swap execution facilities.
Mark Allan Smith
PricewaterhouseCoopers Advisory Practice
Mark Allan Smith is a Principal in PwC's Advisory practice with over 25 years of industry and consulting experience in energy and commodity markets. He leads PwC's Risk Consulting Services for the Energy industry, and has advised many clients on issues involving commodity trading, risk management, ETRM systems, operations improvement, and regulatory compliance.
His background and experience cover a broad spectrum of commercial operations, technology, financial and strategic issues. Prior to joining PwC, Mark worked at BP for 15 years in physical and financial commodity trading, commercial management, logistics, structured products, refining and marketing. His education includes an MBA in Finance from the University of Chicago, and a B.S. in Chemical Engineering from Case Western Reserve University.
|| Thomas W. Sexton III
Senior Vice-President, General Counsel and Secretary
National Futures Association
Thomas W. Sexton III is Senior Vice-President, General Counsel and Secretary of the National Futures Association. Mr. Sexton joined NFA in July of 1991 and prior to NFA, he worked for three years as an associate in the law offices of Ogden Murphy Wallace, located in Seattle, Washington. Mr. Sexton holds a law degree from the University of Notre Dame Law School, an MBA degree from Loyola University and a Bachelor of Arts degree in Government from the University of Notre Dame.
Mr. Sexton is a frequent panelist at industry conferences and seminars, where he speaks on topics pertaining to derivatives industry regulatory issues.
Managing Director, Chief Regulatory Officer
Thomas LaSala serves as Managing Director, Chief Regulatory Officer of CME Group. He is responsible for setting the overall vision and strategic direction for the global market regulation function and building strong external relationships with foreign and domestic regulatory agencies. Prior to assuming his current role, LaSala most recently served as Managing Director, NYMEX Chief Regulatory Officer since August 2008.
LaSala joined NYMEX in 1984 and worked in market surveillance as an Analyst and Director before being promoted to Vice President of Compliance in December 1993. In 2002, he was promoted to Senior Vice President of Compliance and Risk Management and has served as Chief Regulatory Officer since 2006.
LaSala is a director of the Futures Industry Association's Futures Services and Law and Compliance Divisions, and also serves on the Joint Compliance Committee of all of the U.S. futures exchanges.
He earned a bachelor's degree in business administration with a concentration in finance and economics from Marist College in 1983.
Norton Rose Fulbright
Michael Loesch is a partner in the Corporate and Regulatory and Investigations practice groups in the Washington D.C. office of Norton Rose Fulbright. Michael provides legal and strategic guidance on a broad range of issues, including commodities and securities litigation and enforcement, regulatory compliance, internal investigations, and Dodd-Frank. He represents corporations and individuals with respect to CFTC and SEC enforcement investigations and has experience with matters involving manipulation, insider trading, fraud, price reporting, and a variety of other regulatory areas.
Michael also advises clients on complex regulatory and compliance issues, including those involving energy trading, swaps, and derivatives market activity. Having served in senior leadership positions at both the CFTC and the SEC, Michael draws on more than 14 years of federal regulatory and legislative experience to assist clients. Michael previously served as chief of staff of the CFTC, counsel to the chairman of the SEC, branch chief in the SEC's enforcement division, and a staffer in the U.S. Senate.
The webinar will consist of a 35 minute expert presentation, which will be followed by a Q&A lasting for 10 minutes. This webinar will be archived and available for replay upon registration.
Q&A Session - Submitting Questions
Participants can submit questions prior to or during the event through the special feature on the event page, or they can email them to Capital Link at firstname.lastname@example.org. The Q&A portion of the webinar is 10 minutes long.
The Dodd Frank Update webinar is organized by Capital Link, a New York-based Investor Relations and Financial Communications firm.
A FREE AND INVALUABLE RESOURCE
This webinar will also be available on demand at any time after the live broadcast.
Who Should Attend?
Senior decision makers such as: commodity and shipping risk managers, financial analysts, risk advisors, commodity traders, hedge fund managers, shipping fund investors, commercial bankers, ship owners, CEOs, ship operators, ship managers, charterers, shipbrokers, law firms, and financial media—who are keen on working together to capitalize on this booming global derivatives market in addition to sharing their respective plans for growth and future financing requirements.
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