transcript   Transcript

Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued)

Recorded on: Oct. 25, 2018
Running Time: 01:01:37

Full Transcript:



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Taken from the Web Program Advanced Swaps & Other Derivatives 2018 Recorded October 2018 in New York

Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued) [01:01:37]
  • Aspects of bank regulation
  • The role of the NFA
  • Swap dealer regulation implementation
  • Implementation of substituted compliance
  • Swap dealer and intermediary compliance and examinations, coordination and approach

Moderator: Gary Barnett

Douglas E. Harris, Jamila A. Piracci, Gabriel D. Rosenberg, Joseph D. Sanguedolce

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Davis Polk Client Memorandum: Proposed Amendments to the Volcker Rule Regulations (June 18, 2018)
    Gabriel D. Rosenberg
  • Proposed Amendments to the Volcker Rule Regulations (June 18, 2018) (PowerPoint slides)
    Gabriel D. Rosenberg
  • National Futures Association Reference Materials (PowerPoint slides)
    Jamila A. Piracci
Presentation Material
  • NFA Reference Materials
    Jamila A. Piracci
  • Swap Dealer Counterparty Onboarding
    Douglas E. Harris
  • (s)
    Gary Barnett ~ Former Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
    Douglas E. Harris ~ Managing Director, Promontory Financial Group, LLC. an IBM company
    Jamila A. Piracci ~ Vice President, OTC Derivatives, National Futures Association
    Gabriel D. Rosenberg ~ Davis Polk & Wardwell LLP
    Joseph D. Sanguedolce ~ Deputy Director - Examinations, U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight
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