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:

If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

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
    Transcript FAQ's
    • How Can I Access Transcripts?
      You must be a Member in good standing.

    • Can I access the Video?
      Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

    • Can I get CLE credit for reading the transcript?
      No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.
    • twitter
    • LinkedIn
    • YouTube
    • RSS

    All Contents Copyright © 1996-2019 Practising Law Institute. Continuing Legal Education since 1933.

    © 2019 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.