The 2013 4th Annual SEFCON IV, Monday, Nov 18, Grand Hyatt Hotel at Grand Central Station, New York.

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Presented by

The Wholesale Markets Brokers’ Association Americas

4th Annual, Monday, November 18, 2013,
Grand Hyatt Hotel at Grand Central Station, New York, NY

2013 Agenda as of 11/14/13

The Wholesale Markets Brokers’ Association, Americas (WMBAA) announces the tentative Program for its Third Annual Swap Execution Facility Conference.



7:30 - 8:30 am Registration and coffee service in the exhibits

8:30 – 9:00 am

Welcoming Remarks,
Chris Ferreri, Conference Chair
Shawn Bernardo, Chairman, Wholesale Markets’ Brokers Association, Americas

9:00 – 9:50 am Keynote Address: 
Hon. Gary Gensler, Chairman, CFTC

9:50 – 10:40 am

Panel: SEF Tech

Moderator: Hon. Scott O’Malia, CFTC Commissioner

Sonali Das Theisen, Citi Group
Marisol Collazo, DTCC
George Harrington, Bloomberg
Nick Solinger, Traiana
Richard M. McVey, MarketAxess
Kim Taylor, CME Group

10:40 – 11:10 am Exclusive show viewing time / morning coffee break


11:10 – 12:00 pm

View from the Hill

Moderator: Micah Green, Partner, Patton Boggs

Hon. Jim Himes, U.S. Congressman (D-CT), Member, House Financial Services Committee

12:00 – 1:00 pm


1:00 – 1:50 pm

Panel: Cross Border Issues

Moderator Stephen Merkel, BGC Partners
Jeffrey Hogan, BGC Partners

Jacqueline Mesa, Futures Industry Association
Dan Berkovitz, WilmerHale
Sven Gentner, US Representative to the European Commission
Keith Bailey, Barclays
Alex McDonald, WMBA  

1:50 – 2:40 pm Panel: The New Market Structure

Moderator: Sharon Brown-Hruska, NERA Economic Consulting

Jim Toffey, GFI Group
Peter Barsoom, IntercontinentalExchange
Jon Williams, Tradeweb
Jeffrey Maron, Markit
Paul Bauerschmidt, CME Group
Dexter Senft, Morgan Stanley
Christine Ayotte-Brennan, Association of Institutional INVESTORS

2:40 – 3:30 pm

Panel: View from the Press Box 

Moderator Kevin McPartland, Greenwich Associates

Matt Leising, Bloomberg
Douwe Miedema, Thomson Reuters
Peter Madigan, Risk Magazine         
Telis Demos, Wall Street Journal
Ivy Schmerken, Wall Street & Technology
Jeff Kutler, GARP Risk Professional and Institutional Investor

3:30 – 4:00 pm

Exclusive show viewing time / afternoon beverage break

4:00 – 4:50 pm

Panel: SEF Rules – The Challenge of Implementation

It’s no secret that the rule-making process has been stressed. No Action Relief has both mitigated and added to some of the complexity, and some Rule requirements include conflicting rules that simply can’t be implemented within the time-constraints and certain deficiencies in market structure. This panel will challenge that gap between what the Regulatory Regime demands versus what is achievable by the participants. We will also examine the inherent risk of failing to meet demands placed on the industry, whether through Legal, Compliance, Technical Infrastructure or simply business process.

Moderator: Mike Dunn, Former CFTC Commissioner

Michael M. Philipp, (Legal) Morgan, Lewis & Bockius LLP
Greg Compa, (SEF Implementation / Compliance) ICAP
Melissa Slade, (Implementation) PWC
Rick Shilts, (Regulator) Former Director CFTC Division of Market Oversight
Jane Croessmann, (Regulator) National Futures Association
Andrew Kayiira, International Swaps and Derivatives Association, Inc. (ISDA)

4:50 – 5:20 pm Concluding Remarks
Scott Fitzpatrick, Tradition


5:20 –   6:45 pm

Networking Reception

The Wholesale Markets Brokers’ Association, Americas (WMBAA) is an independent industry body representing the largest inter-dealer brokers (IDBs) operating in the North American wholesale markets across a broad range of financial products.  The five founding members of the group are: BGC Partners; GFI Group; ICAP; Tradition; and Tullett Prebon.  The association seeks to promote the quality and standards of the industry and the critical role played by wholesale brokers in the efficient functioning of financial markets, working with key public policymakers on regulation and oversight of over-the-counter (OTC) markets and their participants.  For more information, please go to

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