SEC Proposed Large Trader Reporting System - Key Aspects and Potential Implications
June 2, 2010, New York City
This event addresses the key aspects of the SEC proposal and discusses the practical and policy considerations it raises. The panelists will discuss the legal, compliance and operations issues from a few different perspectives including that of fund managers, major investors and broker dealers.
Agenda
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7:15 - 7:30
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Registration
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7:30 - 8:00
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Networking Breakfast
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8:00 - 8:30
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Keynote: Overview of the SEC Proposal
ROBERT COLBY, Counsel, Davis Polk & Wardwell LLP
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8:30 - 9:15
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Panel One: Legal, Compliance and Operations Issues for Potential Large Traders - Fund Managers and Institutional Investors Perspective
LANNY A. SCHWARTZ, Partner at Davis Polk & Wardwell LLP (Moderator)
LISA BLOOMBERG, Senior Vice President and Deputy General Counsel, OppenheimerFunds, Inc.
CHRISTOPHER MAHON, Managing Director, Global Equities and Investment Banking Compliance, Deutsche Bank
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9:15 - 10:00
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Panel Two: Legal, Compliance and Operations Issues for Potential Large Traders - Broker Dealers and Regulators Perspective
GERARD CITERA, Counsel, Davis Polk & Wardwell (Moderator)
RICHARD HOLLEY III , Senior Special Counsel, Division of Trading and Markets, SEC
ROBERT WALLEY, Managing Principal, Regulatory & Capital Markets Consulting, Deloitte & Touche LLP.
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| Registration |
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| Fee |
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$95 per person (meal included)
Seats are limited. Please click here to register online. |
| Location |
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| Address |
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Bayards
One Hanover Square (between Stone and Pearl Streets)
New York, NY 10004
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| Direction |
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From West Side Highway:
Take West Side Highway to Battery Park. Make left on Battery Pl., continue until the street turns into State St., then continue for approximately 2 traffic lights and make a left on Hanover Square.
From FDR:
FDR South to Exit 1 (Battery Park, Staten Island Ferry), make right on Broad St. Make right at first traffic light on Water St., go 2 traffic lights to Hanover Square and make a left.
From Brooklyn Battery Tunnel:
When exiting tunnel, stay to the left of the traffic light and turn left at the light. When making the left turn, stay right (do not go into underpass), continue on to Battery Place. Make left on Battery Pl., continue until the street turns into State St., then continue for approximately 2 traffic lights and make a left on Hanover Square.
From Broadway:
Take Broadway South to Liberty Street, make a left on Liberty Street, Continue for 5 Blocks to Pearl Street. Make a right on Pearl Street, Take Pearl Street to Hanover Square
From Brooklyn Bridge:
2nd exit (FDR and Pearl St.) Make a right at traffic light. Take Pearl St. to Hanover Square.
Subway:
#2 or 3 to Wall St.
#4 or 5 to Wall St. or Bowling Green
#R or W to Whitehall St./South Ferry
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Clearinghouses as Mitigators of Systemic Risk
