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Program

Tuesday, September 28, 2010

8:30 am - 9:00 am

Registration & Breakfast

9:00 am - 9:15 am

Introductory Remarks by SIFMA

9:10 am - 9:30 am

Featured Speaker

 Marc Menchel

Marc Menchel
Executive Vice President and General Counsel for Regulation
FINRA

9:30 am - 10:30 am

Impacts of the Dodd-Frank Legislation

This panel will focus on the Dodd-Frank Legislation, with a particular focus on issues of interest to fixed income professional, such as the municipal advisor registration, capital rule and the Volcker Rule.

 

Moderator:

 

Leslie Norwood
Managing Director and Associate General Counsel
Securities Industry and Financial Markets Association 

 

Panelists:

 

David Aman
Partner
Cleary, Gottlieb, Steen & Hamilton LLP

David DeMuro 

David DeMuro
Deputy General Counsel, Head of Compliance and Regulatory Affairs
AIG

Lanny Schwartz 

Lanny Schwartz
Partner
Davis Polk & Wardwell 

10:30 am - 10:45 am

Refreshments Break

10:45 am – 11:45 am

Concurrent Sessions:

 

1. Municipal Securities

This panel will address issue in the municipals securities market including disclosures to retail investors, trade reporting, and new issue disclosure.

 

Moderator:

                            Paul Maco

Paul Maco
Partner 
Vinson & Elkins LLP 

 

Panelists:

Martha Haines

Martha Haines
Chief, Office of Municipal Securities
U.S. Securities and Exchange Commission

Ernesto Lanza

Ernesto Lanza 
General Counsel and Chief Legal Officer 
Municipal Securities Rulemaking Board 

 

Malcolm Northam
Director of Fixed Income Regulation
FINRA

 

2. Treasury/Repo Securities

This panel will focus on issues related to the Treasury and repo markets.

 

Panelists:

 

Ranada Fergerson
Executive Director
Nomura Securities International, Inc.

 

Shannon Hales 
Director 
Citigroup Global Markets Inc.

 

Carolyn Monroe-Koatz 
Managing Director & Associate General Counsel 
JPMorgan Securities Inc.

 

Andrew Waskow
Vice President and Associate General Counsel 
Goldman, Sachs & Co.

11:45 am – 12:45 pm

Concurrent Sessions:

1. Primary Markets

This panel will address issues in the primary markets including hybrid securities after Basel II, syndicate practices, and new issue disclosure.

 

Panelists:

Bruce Bennett

Bruce C. Bennett
Partner
Covington & Burling

 

Arunas Gudaitis
Director and Counsel, COO Americas Investment Banking Committees
Credit Suisse

 

Thomas W. Yang
Managing Director, Associate General Counsel
Bank of America Merrill Lynch

 

2. Compliance Roundtable

This panel will address the needs, challenges and possible solutions for compliance professionals in fixed income markets today, including TRACE, sales practices issues and issues related to Dodd-Frank implementation.

 

Moderator:

 

Rose-Anne Richter 
Managing Director 
Morgan Stanley & Co.

 

Panelists:

 

Mary Beth Findlay
Head of Equities Compliance
Credit Suisse

 

Stu Wexler
General Counsel
ICAP

 

Tracy Whille
Chief Compliance Officer
MF Global Securities, Ltd.

12:45 pm – 1:45 pm


LUNCH AND FEATURED SPEAKER

Formal Luncheon Hosted by Covington & Burling LLP

 Eugene Robinson

Eugene Robinson
Pulitzer Prize-winning Columnist
The Washington Post and Political Analyst, MSNBC

 

Who's Up, Who's Down and What's Really Going On

Popular Pulitzer Prize-winning columnist Gene Robinson cuts through the clutter of words to focus on intent, objectives and accomplishments of the Obama Administration and Congress. Gene Robinson has the ear of inside-the-beltway political insiders. With more than 25 years of reporting experience, his incisive political commentary is welcome on news programs such as MSNBC’s Hardball, Countdown and The Rachel Maddow Show and NBC’s Meet the Press. Widely recognized for his uncanny ability to speak truth to power, Robinson is a Pulitzer Prize-winning writer who brings audiences a tested perspective on today’s political news while looking to the future in analyzing the 2010 midterm elections. In his various roles at The Washington Post and while reporting abroad, Robinson has witnessed firsthand the revolution taking place online and in the 24/7 news cycle and has seen how the news media is influencing American culture. As one of the most prominent African-American intellectuals on the culture scene and author of Coal to Cream: A Black Man's Journey Beyond Color to an Affirmation of Race, Robinson also shares with audiences his understanding of race relations in the United States and explains why many popular conceptions are now obsolete. His latest book, Disintegration, is scheduled for release in 2010.

 

1:45 pm – 2:45 pm

Concurrent Sessions:

1. Litigation and Enforcement Update

A report of critical litigation and enforcement issues of interest to bond market practitioners.

 

Moderator:

 Turan

Edward C. Turan 
Senior Deputy General Counsel and Managing Director
Citigroup Global Markets Inc.

 

Panelists:

                         Susan Merrill

Susan L. Merrill
Partner
Bingham McCutchen

 Robert Pietrzak

Robert Pietrzak
Partner
Sidley Austin LLP

Larry B Pedowitz 

Lawrence B. Pedowitz
Partner, Litigation
Wachtell, Lipton, Rosen, & Katz

 Linda Thomsen

Linda Thomsen
Partner
Davis Polk & Wardwell

1:45 pm – 2:45 pm

2. Current Issues in Securitization

This panel will cover the FDIC’s final Securitization Safe Harbor Rule, the implementation of risk retention, conflicts of interest, due diligence and other Dodd-Frank related rulemakings, the SEC’s so-called ‘Reg AB 2’, and important issues around credit rating agencies and their ratings.

 

Moderator:

Daniel Rossner

Daniel Rossner
Partner
Sidley Austin LLP

 

Panelists:

Ed Gainor

Edward Gainor
Partner 
Bingham McCutchen LLP 

 

Myongsu Kong
Director and Counsel
Citi

 Bianca Russo

Bianca Russo
Managing Director & Associate General Counsel
J.P. Morgan

 

Gregory Walker
Managing Director & Counsel
UBS

2:45 pm - 3:45 pm

Ethics and fixed income Securities Offerings:

 

This panel will examine issues relating to attorney client privilege and other ethics issues faced by the in house attorney.

 

Panelists:

 

Scott Gilbert
Executive Director and Senior Associate General Counsel
UBS

Dennis Hensley

Dennis Hensley
Partner
Sidley Austin LLP

 

Gary Rosen 
Managing Director
Citigroup Global Markets Inc.

George Schieren

George Schieren
Partner
Gibson, Dunn, & Crutcher

SIFMA thanks the following sponsors for supporting the 2010 Fixed Income Legal & Compliance Conference: 

Sponsorship: Tote Bag

Compliments of Bingham McCutchen LLP 

  
Sponsorship: Luncheon  Hosted by Covington & Burling LLP
  
Sponsorship: Conference ContributorSponsored by World-Check                          
 Sponsored by Lawyers Diary & Manual
  
Sponsorship: Wall Street Journal Compliments of Dow Jones