FINANCIAL SERVICES LAW CONFERENCE ADVISORY BOARD. Chief Compliance Officer and Associate General Counsel Rosenthal Collins Group LLC

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1 What s Going on Around Town in Futures and Derivatives Friday, October 21, 2011 CHICAGO-KENT COLLEGE OF LAW ILLINOIS INSTITUTE OF TECHNOLOGY 565 West Adams Street Chicago, Illinois rd A nn ua l CHICAGO-KENT CLE FINANCIAL SERVICES LAW CONFERENCE

2 CONFERENCE SPEAKERS Richard T. Reibman Dykema Gossett PLLC Adjunct Professor in Financial Services Law, Chicago-Kent College of Law Joseph P. Adamczyk Director, Global Head of Enforcement CME Group John Brand Compliance Manager ICE Clear Credit LLC Patricia L. Cushing Associate Director, Compliance Patricia Donahue Chief Compliance Officer and Associate General Counsel, Rosenthal Collins Group LLC Vivien C. Gross Clinical Professor of Law Chicago-Kent College of Law Marc Nagel Chief Operating Officer Dorman Trading LLC Robert A. Sniegowski Associate Director, Rules and Regulatory Outreach, Market Regulation Department, CME Group Jennifer Sunu Director of Compliance FINANCIAL SERVICES LAW CONFERENCE ADVISORY BOARD Richard T. Reibman Conference Chairman Dykema Gossett PLLC Patricia Donahue Chief Compliance Officer and Associate General Counsel Rosenthal Collins Group LLC Marc Nagel Chief Operating Officer Dorman Trading LLC Jennifer Sunu Director of Compliance Deborah T. Villa Senior Director, CLE Chicago-Kent College of Law

3 PROGRAM SCHEDULE 8:00am - 8:55am Registration 8:55am - 9:00am Welcome and Announcements 9:00am - 10:30am Recent Developments Part I Current Regulatory Issues Changes to regulations as a result of Dodd-Frank Member advisory on CTA recordkeeping Supervision of floor brokers Recent Enforcement Actions Supervision of GIBs and branch offices Trading practices of IBs, CTAs Trading platform abuses at Forex dealer members Common NFA Examination Issues Hypothetical performance Disclosure documents Forex performance results Patricia L. Cushing Associate Director, Compliance Jennifer Sunu Director of Compliance 10:30am - 10:45am Break 10:45am - 12:15pm Recent Developments Part II Navigating investigations by the CFTC and SRO Impact of CFTC s anti manipulation/ anti-fraud rulemaking and disruptive trade practices guidance on SRO investigations Exchange compliance, investigations and disciplinary proceedings involving electronic trading (e.g., High-frequency algorithmic trading, errant messaging, risk management and sponsored access) Update on OTC (ClearPort) and proposed rulemaking on Core Principle 9 Update on position limits, position accountability & large trader reporting Joseph P. Adamczyk Director, Global Head of Enforcement CME Group Robert A. Sniegowski Associate Director, Rules and Regulatory Outreach, Market Regulation Department, CME Group 12:15pm - 1:15pm Lunch (on your own) 1:15pm - 2:15pm Legal Ethics: Limits on Lawyering (1.0 hour of IL MCLE ethics credit) What obligations does your client have? What obligations does your lawyer have? Discussion of new Illinois rules 3.3, 3.4, 4.1, 1.6, 1.2, with hypothetical examples Vivien C. Gross Clinical Professor of Law Chicago-Kent College of Law Richard T. Reibman Dykema Gossett PLLC Adjunct Professor in Financial Services Law, Chicago-Kent College of Law

4 PROGRAM CONTINUED 2:15pm - 2:30pm Break 2:30pm - 4:30pm Current Challenges for Compliance Officers This session will discuss several hot topic issues facing compliance officers in the ever-changing regulatory landscape, and offer practical advice. The panel will focus on: Approving new business-customer solicitation through the account opening process Registration Promotional material Sales solicitation and social media Red flags in new accounts AML AML compliance during the account opening process During funding process During trading process Compliance issues in the actual trading of the account Supervision of introducing brokers and APs Just and equitable principles of trade Disruptive trading practices Wash sales Position limits Monitoring of traders and trading John Brand Compliance Manager ICE Clear Credit LLC Patricia Donahue Chief Compliance Officer and Associate General Counsel Rosenthal Collins Group LLC Marc Nagel Chief Operating Officer Dorman Trading LLC 4:30pm Cocktail & Networking Reception

5 Who should attend: Lawyers whose practice involves financial services, including futures and derivatives law, and regulation; and compliance officers. Why: The challenging complexities of revolutionary market forces, regulatory reform, technology, and globalization have created an environment in which attorneys must broaden their knowledge and sharpen their skills to handle the widening range of legal and related issues in the evolving financial services industry. Join us for a day of provocative discussion on a number of current developments in this rapidly changing environment. PROGRAM AT A GLANCE 9:00am-12:15pm Hot Topics and Recent Developments 12:15pm-1:15pm Lunch (on your own) 1:15pm-2:15pm Legal Ethics: Limits on Lawyering 2:30pm-4:30pm Current Challenges for Compliance Officers 4:30pm Cocktail & Networking Reception IL MCLE Credit: 6.0 hours, including 1.0 hour of professionalism credit

6 GENERAL INFORMATION Program Location The conference will be held at Chicago-Kent College of Law, 565 West Adams Street in Chicago. Confirmation of Registration A letter of confirmation will be ed to the address given on your registration form. If you do not receive an confirmation after registering and before the conference please contact the Office of Continuing Legal & Professional Education at cle@kentlaw.edu. Confirmation of Attendance A certificate of attendance will be provided at registration. Cancellations and Refunds Written notification of cancellation is required. A full refund is available if notification is received prior to September 23, 2011; 25% will be charged if notification is received between September 23 and October 14, No refunds will be granted after October 14, MCLE Credit Chicago-Kent College of Law is an accredited CLE provider for IL & PA MCLE. This conference is eligible for 6.0 hours on a 60 minute credit hour: includes 1.0 hour of ethics credit. For additional information: please call the Office of Continuing Legal & Professional Education, Chicago-Kent College of Law, (312) , or send an to cle@kentlaw.edu. LL.M. in Financial Services Law Chicago-Kent offers the LL.M. degree in Financial Services Law on a full or part-time basis to individuals holding J.D., LL.B. or other first law degrees. Please call (312) for more information.

7 REGISTRATION FORM: Financial Services Law What s Going on Around Town in Futures and Derivatives 4 EASY WAYS TO REGISTER Online: cle.kentlaw.edu Fax: (312) Phone: (312) Mail: Office of Continuing Legal and Professional Education IIT Chicago-Kent College of Law 565 West Adams St. Chicago, Illinois Registration Fee Early Bird Registration Fee (per person)...$395 (Until October 7, 2011) After October 7, $435 Government & Alumni Rate...$325 Name (please print) Professional Title Firm/Agency Address City State Zip Telephone Fax Attorney Registration # Please check here if you have any special needs and a CLE staff member will contact you PAYMENT INFORMATION Payment by check. Amount enclosed $ (Make check payable to: Chicago-Kent College of Law) Registration form must accompany payment. Registration will not be accepted unless submitted with payment. Payment by credit card. Amount enclosed $ VISA Master Card American Express Discover Card No. Security Code Signature Exp. Date