Thomas Smith
Commodity Futures Trading Commission
Appearances
Identification12DateNovember 30, 2012This panel includes key representatives from regulatory agencies that write, interpret, supervise and examine the financial regulatory reporting requirements that apply to securities firms, banks and future commission merchants. The format for this session is a Q&A, so bring your questions…Speakers
Commodity Futures Trading CommissionManaging Director, Financial Services Advisory Practice, PwCPartner, Deloitte & ToucheAssociate Director, Division of Trading and Markets,, U.S. Securities and Exchange Commission, Washington, DC
IdentificationLB012DateNovember 30, 2012This panel includes key representatives from regulatory agencies that write, interpret, supervise and examine the financial regulatory reporting requirements that apply to securities firms, banks and future commission merchants. The format for this session is a Q&A, so bring your questions…Speakers
Managing Director, Financial Services Advisory Practice, PwCPartner, Deloitte & ToucheAssociate Director, Division of Trading and Markets,, U.S. Securities and Exchange Commission, Washington, DCCommodity Futures Trading Commission
Identification12DateOctober 25, 2013This panel session includes key representatives from regulatory agencies that write, interpret, supervise and examine the financial regulatory reporting requirements that apply to securities firms, banks and futures commission merchants…Speakers
Senior Vice President, Member Regulation, Financial Industry Regulatory AuthorityPartner, Deloitte & ToucheAssociate Director, Division of Trading and Markets,, U.S. Securities and Exchange Commission, Washington, DCCommodity Futures Trading Commission
Identification12DateOctober 25, 2013This panel session includes key representatives from regulatory agencies that write, interpret, supervise and examine the financial regulatory reporting requirements that apply to securities firms, banks and futures commission merchants…Speakers
Senior Vice President, Member Regulation, Financial Industry Regulatory AuthorityPartner, Deloitte & ToucheAssociate Director, Division of Trading and Markets,, U.S. Securities and Exchange Commission, Washington, DCCommodity Futures Trading Commission
