- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
Lisa Dunsky is a director and associate general counsel at CME Group Inc. She provides legal advice on regulatory, clearing, bankruptcy and litigation issues. Since joining CME Group in 2008, Ms. Dunsky’s work has included, among other things, CME’s 4d petitions for cleared-only OTC derivatives, preparing rules for CME’s cleared OTC derivatives customer account class, handling issues arising from the insolvencies of Lehman Brothers Holdings, and its affiliates, and preparing comment letters with regard to regulatory rulemaking proposals. Ms. Dunsky has also been a lawyer with Mayer Brown and was in-house regulatory counsel for an energy trading division of BP America.
Mark Perlow is a partner with K&L Gates in San Francisco where he specializes in investment management and securities law for investment advisers, mutual funds, fund boards, hedge funds and broker-dealers. He has also served as senior counsel in the SEC’s Office of the General Counsel as well as having worked in the Division of Enforcement.
Kevin Gleason is assistant general counsel and assistant secretary at The Northwestern Mutual Life Insurance Company. His practice focuses on providing business and legal advice to investment companies, investment advisers, banks, insurance companies and broker-dealers which offer products and services to corporate, high net worth, mass affluent and retail clients. He has also worked for two other international Fortune 500 diversified financial services organizations.
Richard Donick, partner, head of Risk Management & Analysis at Diversified Credit Investments, a San Francisco-based investment management firm that focuses on corporate credit and fixed income, with over $3B in AUM. He is responsible for the firm’s investment analysis and risk management. Prior to helping launch DCI in 2004, Richard was with the Financial Restructuring Group at the investment bank Houlihan, Lokey, Howard & Zukin with UBS AG in London and was an attorney in Washington, D.C., with Johnson & Gibbs.
This webinar was originally recorded July 13, 2010,
2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.
If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!
Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
Congress is poised to pass the biggest changes in financial regulation since the Great Depression, and much of it would create ways to rein in derivatives – those exotic instruments many blame for the financial crisis.
Get the jump on the major changes coming by reserving your spot at our July webinar and leave with a thorough understanding of how these reforms will dramatically change the landscape by placing new requirements on master agreements and contracts, mandating clearing and reporting, setting collateral and margin limits, and more.
The World Bank estimates the amount in over-the-counter derivatives contracts topped $590 trillion in 2008, which suggests the far-reaching effects of this new regulation. IA Watch has assembled a panel with deep expertise to explain the new rules that will usher in a new day.
Purchase the CD of the July 13th webinar, Derivatives Regulation: How Coming Reforms Promise to Transform How You Do Business and get the lowdown on:
- Why derivatives can affect every firm, regardless of business model
- Compliance procedures for trades involving swaps and other instruments
- Why you should consider credit support annex agreements
with counterparties - What types of derivatives would have to be cleared through exchanges
- Procedures for settlement and reporting requirements for swaps
- New inspection authority being granted to the SEC and the CFTC
- How collateral requirements are likely to change
- Restrictions on lending tied to derivatives
- And much more.
YES, please rush me a copy of the CD containing the audio and speaker presentation materials of the webinar, Derivatives Regulation: How Coming Reforms Promise to Transform How You Do Business for $195 [TA1984CD].
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Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
© 2010 IA Watch