Conference Session Preview - Compliance

Have you attended compliance sessions in the past that have not quite addressed your concerns or perhaps hit topics that were interesting but not relevant to your firm? This year we have setup our compliance session just for you! The session titled "Whats on your Mind?" answers just that calling by creating an audience driven session. What does that mean exactly? You are in the driver's seat and can select in real time the compliance topics you would like to hear the panel discuss. This panel is a great mix of compliance experts and regulators. Below is a bio for each of our panelists: Matthew Kluchenek, Partner, Baker & McKenzie LLP Matthew Kluchenek heads the Firm's Global Derivatives and Hedge Fund practice. He regularly advises clients on a broad array of regulatory, transactional and enforcement matters involving the financial markets and financial products, drawing on deep business knowledge to deliver practical advice and explain complex concepts. Mr. Kluchenek serves as a subject matter expert in printed media and industry events, has published numerous articles and has spoken at many industry events. He is an adjunct professor at a local law school, where he teaches a course on derivatives law. Susan Osmanski, President, Turnkey Trading Partners Susan has been actively involved in the commodity futures industry for the last twenty-five years. Her career began in fund management where she was responsible for the administration of eighteen affiliated public and private commodity funds. Since, she has extensive experience as an independent consultant for CFTC and NFA member firms. She was selected to serve on the Advisory Board for the Commodity Customer Coalition (“CCC”). Dale Spoljaric, Managing Director, Compliance, NFA Dale managing director, where he helps oversee the compliance department's examination, investigation, financial surveillance, and risk management programs. Prior to his current role, Spoljaric was the US Head of Agency Derivative Services Compliance at Barclays Capital Inc. where he led a team of compliance professionals covering futures, cleared swaps, and FX prime brokerage, in addition to providing subject matter expertise on regulatory topics including client money, customer protections, and financial reporting. He also spent time as a Control Officer with JP Morgan Securities in the F&O and Cleared OTC Operations group. He began his career in the futures industry with Chicago Mercantile Exchange as an auditor for its Designated Self-Regulatory Organization function. Erin Middleton, Lead Rules & Regulatory Outreach Specialist, CME Group Erin has been with CME for nearly 10 years. Her current role is quite dynamic and involves collaboration with the various functional areas of Market Regulation and Business Line Management teams in Chicago, New York, London and Singapore to identify new rules and advisories that are necessary to address specific regulatory issues, as well as those that need to be clarified or otherwise updated in the context of the current business environment.

Conference Session Preview - Compliance

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