- Summer K. Mersinger, Commissioner, CFTC
- Frank Hayden, Head of Compliance, Calpine
- Roger TanCreti, Regional Head of Compliance, Gunvor USA
- Patrick Swartzer, Director - ICE Futures U.S. Market Regulation
Moderated by Gordon Allott, President & CEO, K3 by BroadPeak
With very volatile and uncertain energy and commodity markets, a global shortage of compliance personnel, inflation and recession pressures it begs the question:
How do we keep compliance and surveillance intact?
This webinar will gather leaders from across the energy and commodity trading spectrum: regulators, market participants, thought leaders, and providers of the most innovative technologies – together the speakers will provide a deep dive into some of the most urgent challenges faced by the industry, and share practical tips for identifying and mitigating these.
Some of the key themes to be covered include:
- If you are not a financial institution, what is an appropriately sized program?
- How do we effectively navigate candor requirements?
- How do we train our people when the vast majority of our portfolio is NOT financial trading?
- How do we perform surveillance over markets that do not produce surveillable data?