Start Time: Nov 14, 2014 1:00 PM ET
End Time: Nov 14, 2014 2:00 PM ET
Location Details: Online
Event Type: Webcast
Recommended CPE Credits: 1 hour
Audience: C-level executives, senior executives and managers of financial institutions
Contact: Marcel Beswick
Phone: +1 212 624 5303
Email: marcel.beswick@us.gt.com
Program Content: The banking industry under the Volcker Rule has proven to be inherently complex. Recently, the conformance period has been extended to July 21, 2015 – an acknowledgement by regulators of the difficultly financial institutions face in complying with the rule. This Grant Thornton LLP webcast will provide insights into many questions surrounding challenges that financial institutions face with DFA/Volcker conformance requirements.
Learning Objectives:
- Identify and evaluate Title V [Regulation of advisors to hedge funds and others] and VII [Swap Dealer/OTC derivatives] implications
- Recognize Volcker Rule Title VI and its implications
- Evaluate propriety trading vs non-propriety trading [trading desk/functions impacted]
- Identify and discuss the standard compliance and enhanced program compliance requirements
- Cite the covered funds/Super 23A restrictions
Featured Speakers:
- Graham Tasman - Principal, Business Advisory Services
- Ken Goodwin - National Senior Manager, Bank Advisory and Regulatory Services
Recommended Field of Study: Management Advisory Services
Program Level: Overview
Prerequisite: None
Delivery Method: Group--internet-based
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
