Floor Tour led by Ron Grossman & William Gallwas – Whether you have visited the trading floor, traded on the floor or passed through the visitors’ gallery, a tour guided by Ron Grossman and William Gallwas is an experience in itself. The trading floor at some point in time (always seems to be 5 years from now) will become history and the NIBA has enlisted two of the best to host an insiders’ guided tour of what was, what is and what is to come of the Chicago trading pits.
8:00 am – CBOT, Sponsored by: ADM Investor Services
Compliance for Swaps IBs and CTAs – Jeff Barclay, Panel Leader – Swaps compliance is a hot topic among industry and regulators as legislation has led to registration requirements and regulations which some argue “don’t fit.” This panel of industry experts includes the latest information and perspective from the NFA, as they work to align regulation with the real world of swaps trading.
9:45 am - CBOT
Tax issues for IB/CTA’s – Michael Coglianese, CPA, Panel Leader – Like it or not, the IRS has a hand in the game no matter what. During the past year the tax code has added some new intricacies which will likely affect your business. Don’t be caught by surprise by these changes! This panel of accountants and attorneys -- all with years of experience unique to the financial industry -- will give you a heads-up on what’s coming down the pipe, what you need to do about it and where you can look for advice.
10:45 am – CBOT
Luncheon Topic “Catalysts for Changing Market Trends and Volatility” – Blu Putnam, Chief Economist of the CME Group will address the following topics:
- Rates: The Fed Decision Process Evolves
- Equities: Earning Growth Deceleration vs M&A Activity
- FX: US/UK outperformance vs Japan/Europe Malaise
- Energy: Global connections rearrange price dynamics
BIG Compliance Issues – Harris Kay, Panel Leader – You already know this is a big year for compliance issues. CFTC Rule 1.22 is due to take effect in November. CFTC Rule 1.35 is already affecting IB/FCM/CTA operations. Both regulations change your relationship with your customer and affect your bottom-line. This panel will discuss these two regulations and how to comply, in depth, including the latest information from the NFA.
1:45 pm – CME, Sponsored by: Phillip Capital USA
Marketing for CTAs and the IBs Who Use Them – Mark Ruddy, Panel Leader – What is the state of managed futures? What was the AUM for the past 2-3 years, what is it now and what is the forecast for 1-3 years out. Liquid alternative, non-correlated investments and adding alpha to a portfolio are all familiar subjects, but what do they really mean? Is getting on an FCM platform a good marketing strategy and what does it take? This panel of industry experts takes on all these issues from both a CTA’s compliance perspective and an IB’s business point of view.
2:45 pm – CME, Sponsored by: Vision Financial Markets
NFA Representatives Answer to You - NIBA Board Member, Panel Leader – As members of the NFA, we elect representatives to represent our opinions, and speak-up for us at NFA board meetings. But what really happens after they are elected? What are their goals as a serving representative, and do they mirror yours? Attend our Annual Review and learn what your representatives are doing for you. IB representatives Paul Georgy and Jeff Malec will participate on the panel, along with CTA reps, James Koutoulas and John Roe.
3:45 pm - CME
