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Introduction

The Dodd-Frank Act has had financial services organizations racing to understand its scope and impact. Now that many crucial aspects of the legislation have been finalized, financial services organizations are tasked with assessing how the Act will affect their business and choosing the most cost-efficient course of action for addressing the numerous resulting changes.

This Symposium will serve as a comprehensive deep-dive into Section 7 of the Dodd Frank Act, leading to a comprehensive understanding of the key business, operations, technology, risk and legal implications as well as a knowledge exchange that creates roadmaps for immediate and mid-term execution. The discussion will include the front-, middle- and back-office impact across the enterprise and will be structured to be a practical workshop--and not just a cursory overview of general themes--to assess readiness, understand upcoming changes, a peer-to-peer review of strategic and tactical steps undertaken for DFA compliance and the best practices to adopt. Leading executives from Central Counter Parties (CCPs), Future Clearing Merchants (FCMs), Swap Data Repositories (SDRs), Swap Execution Facilities (SEFs), legal firms, service providers, buy and sell-side firms will share insights and discuss best practices.

Benefits of Attending
  • Understand Dodd Frank Act's impact across operations, business, technology, legal and compliance within the front-, middle- and back-office framework.
  • Obtain the knowledge to create an enterprise-wide transformational roadmap for compliance, implementation, timelines, budgeting and effective change management.
  • High-level diagnosis on enterprise readiness for compliance and pointers on bridging gaps.

Who Should Attend

  • Chief Executive Officers, Chief Financial Officers, Chief Operations Officers, Chief Technology Officers, Chief Risk/Legal/Compliance Officers
  • Heads of: Operations, Technology, Risk and Legal at

    • Hedge funds/Asset Managers
    • Clearing Member Firms/Prime Brokers/Custodians
    • Clearing Houses

  • Heads of OTC Clearing
  • Heads of Collateral Management
  • Senior Vice President, Vice President, Director, Managing Director- Clearing & Collateral Management
  • Business Development Managers –Clearing /Collateral Management
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