KING VAULT
This industry panel will look at the new challenges facing legal and compliance as they carry out the 'day job' and how they are being met in practice. For example, dealing with clients' uncertainties with respect to UK segregation and increasingly detailed requests for information - for example, relating to best execution or the identification of risk exposures - from buy-side clients.
The panel will also consider regulatory expectations with respect to risk management and the extent to which this falls within the remit of legal and compliance. For example, in respect of the use of remote booking entities, what additional steps are regulators requiring and what is good practice in respect of risk management.
Chair:
Steve Thomas, Global Head of Compliance & FCP, Newedge Group
Speakers:
Chris Brennan, Associate (Barrister), Barlow Lyde & Gilbert
Martin Cornish, Partner, Katten Muchin Rosenman
Julian Courtney, Compliance Director, Marex Financial
Brian Lewis, Compliance Officer, Capital Markets Advisory, BNP Paribas Commodity Futures
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