Full Conference Agenda

June 19-20, 2012Houston, TXAttending this premier marcus evans Conference Will Enable you to Hear From:• Evaluate key methods for the implementation of recently established energy trading position limits across the enterprise• Enhance energy trading compliance processes to determine and execute goals under new 'swap' and 'end user' definitions• Effectively address the challenges surrounding compliance with CFTC and FERC energy trading guidance• Discover innovative approaches to implement a fully up-to-date energy trading compliance program• Realize the benefits of an enhanced IT infrastructure to minimize costs and increase efficiencies in energy trading complianceWho Should Attend:marcus evans invites senior level executives from EnergyCompanies, Investment Banks, and Energy Trading Firms withresponsibilities or involvement in the following areas:• Compliance • Energy Trading Compliance• Chief Counsel• Head / General / Associate Counsel• Commodities Trading Compliance• Chief Risk Officer• Risk Control • Risk Management• Energy Trading Governance• Regulatory Affairs• Regulatory Policy• Dodd-Frank Compliance• CFTC Compliance / RelationsDaniel A. Mullen, Esq. Chief, Branch 4Division of Investigations, Office of EnforcementFederal Energy RegulatoryCommission (FERC)Kevin McMahon Senior Vice PresidentInternal Audit & ChiefCompliance Officer Calpine EnergySean CollinsChief, Market Oversight Branch 7Federal Energy RegulatoryCommission (FERC)Tom NuelleDirector, Regional ComplianceBP EnergyCatherine E. NapolitanoDirector & AssistantGeneral CounselBank of AmericaMerrill LynchNick CiollChief Financial Officerand Chief Risk OfficerTriEagle Energy, LPLopa ParikhDirector, Federal Regulatory Affairsfor Energy SupplyEdison Electric InstituteNicole W. RussellGeneral CounselMercuria Energy Trading Inc.Marcia L. HissongAssistant General CounselDTE Energy Trading, Inc.Christopher J. BernardHead, Trading & Regulatory ComplianceEdison Mission EnergyJesse DillonSenior CounselPPL Services CorporationJerry JeskeGroup Chief Compliance OfficerMercuria Energy GroupEmma Coyle Power Compliance Manager TransCanada Energy Ltd.Jennifer BrodoffLegal Counsel, Supply, Trading& Corp. Development DivisionSuncor Energy Services Inc.Cary OswaldManaging Director, Risk StrategyXcel Energy Services Inc.Kevin LipsonPartnerDLA PiperMichael SweeneyPartnerSutherlandGlade WishartCompliance Officer DB Energy Trading LLCCarolynn PereyraVice President & CounselLegal DepartmentDB Energy Trading LLCStephen WempleVice President, Regulatory AffairsCon Edison CompetitiveShared ServicesFeaturing Case Studies from Leading Energy Trading ComplianceExperts Including: Establishing New Compliance Programs and UnderstandingRecent Guidance Updates from the CFTC and FERCRegulatory Compliance in Energy Trading2nd AnnualMore Registration Details. Click HereEvaluate new CFTC 'Swap' and 'EndUser' definitions to establish positionlimit strategies.Silver Sponsor:EARN UPTO 20 HOURSOF CLE CREDITS Panel Partner:Day One | Tuesday, June 19, 20127:30 Registration and Coffee8:15 Opening Remarks by Chairperson8:30 Creating an Innovative Energy Trading Facility in Compliancewith Reporting and Record Keeping Rules• Outlining new record keeping and reporting requirements for swaps • Establishing a quarterly or bi-quarterly auditing and reportingprogram to demonstrate compliance to regulators• Understanding the repercussions of noncompliance to new regulations• Anticipating compliance staff needs in the uncertainregulatory climateStephen Wemple, Vice President, Regulatory Affairs Con Edison Competitive Shared Services9:20 Developing an Internal Data Monitoring Program to FullyImplement CFTC Regulations• Clarifying components of trade compliance regulation to managethe challenges in trade surveillance programs• Evaluating the challenges in physical trade monitoring to ensurecompliance with Dodd-Frank regulations• Reviewing the best practices in financial and physical commoditytrading data interpretation to create a leaner, enterprise-widecompliance approach• Improving trade and market data accessibility to increasethe effectiveness of surveillance initiativesKevin Lipson, PartnerDLA Piper10:10 Networking Break10:40 Establishing Market Manipulation Prevention Strategiesto Protect Liquidity and Trading Compliance• Illustrating the definition and use of 'disruptive trading' practicesto contrast energy trading in liquid and illiquid markets • Enhancing preventive measures around increased anti-manipulation rules• Understanding CFTC approaches to fraud and manipulationto overhaul fraud prevention protocols• Establishing strong market manipulation prevention practicesin preparation for margin and collateral requirementsJerry Jeske, Group Chief Compliance OfficerMercuria Energy Group11:30 Analyzing the CFTC Definition of a Swap to Define the Rolesof the Energy Trading Participants• Breaking down the new CFTC definition of swap to fully comprehend CFTC energy trading initiatives moving forward• Summarizing the definition of swap dealers and subsequentregistration to prevent conflicts of interest with other corporate entities• Exploring recently defined business conduct standards withinthe new role of major swap participants• Aligning with new regulatory language end user eligibility to prevent a change in business model definitionsCatherine E. Napolitano, Director & Assistant General CounselBank of America Merrill Lynch12:20 LuncheonEVALUATING METHODS FOR IMPLEMENTING POSITION LIMITSACROSS THE ENTERPRISE1:20 Evaluating the Business and Structure Around Dodd-Frank• Understanding Dodd-Frank: Are your giving your business a trueassessment for Dodd-Frank?• Establishing a cost-effective business plan surrounding Dodd-Frank• Comparing SOX and Dodd-Frank: Utilizing real-life lessons fromSarbanes-Oxley compliance to prepare for Dodd-Frank• Creating a pre-assessment of the business model to changethe internal business practices in preparation of the Dodd-Frank Act• Challenging vendors and counter-parties on long-term processesto accurately capture data and trade monitoringKevin McMahon, Senior Vice PresidentInternal Audit & Chief Compliance Officer Calpine Energy2:10 Panel DiscussionAdhering to Position Limits throughout the Energy TradingPractice While Limiting Exposure of CFTC Violations• Determining the difficulties in complying and enforcinga position limit standard while administering a practical tradingplatform implementation• Explaining contrasting views of position limit complicationsto highlight regulator and trading perspectives • Discussing practical regulatory reform implementation deadlinesto inform internal stakeholders• Investigating the application of intraday position limit violationsto minimize industry concernModerator: Michael Sweeney, PartnerSutherlandPanelist:Tom Nuelle, Director, Regional ComplianceBP Energy3:00 Managing Legal Risks of Fraudulent RINs Trading in Light of EPAand Market Participant Responses• Mastering the regulatory requirements needed to createan Energy Trading department through regulatory hurdles• Designing the trading program to eliminate RINs• Erecting an intraday clearing process to comply withall future guidelines• Looking towards 2013 to prepare for more rounds of energy tradingdefinitions and industry innovationNicole W. Russell, General CounselMercuria Energy Trading Inc. 3:50 Networking BreakUTILIZING DATA AND TECHNOLOGY INFRASTRUCTURETO IMPLEMENT ENERGY TRADING COMPLIANCE SYSTEMSMore Registration Details, Click HerePRODUCER INFO:I would like to thank everyone who has assisted with the research and organizationof the event, particularly the speakers for their support and commitment.James Grady, jamesg@marcusevansch.com.MARKETING INFOA limited amount of exhibition space is available at the conference. Sponsorshipopportunities covering luncheon, evening functions and documentation also exist.For further details, please inquire to David Drey, ddrey@marcusevansch.comor 312 540 3000 ext 6583.Day One | Continued4:20 Integrating New Whistleblower and Business Conduct Rulesto Prevent Regulatory Violations • Handling low-level employee compliance concerns to preemptwhistle-blowing and loss of proprietary information• Developing new approaches in energy trading to reflect the depthof the business conduct rule • Defining 'special entities' to align with new obligations on swap dealers and major swap participants under the business conduct rules• Incorporating specifics under Dodd-Frank Section 922 to enhancetransparency in preventing whistleblower violationsMarcia L. Hissong, Assistant General CounselDTE Energy Trading, Inc.5:10 Dodd-Frank from a Multinational Commercial Energy Producer'sPerspective: Ongoing Analysis to Determine and ContinueMaintenance of End-User Entity Classification and End-UserCompliance Considerations under Dodd-Frank• Managing ongoing business diligence and analysis conductedto determine entity classification (Swap Dealer, Major SwapParticipant or End-User) under Dodd- Frank • Examining end-user Dodd-Frank compliance considerations • Qualifying for end-user exemption from mandatory clearingrequirement imposed on swaps subject to mandatoryclearing requirement• Exploring economics of satisfying hurdles to qualify for end-user clearing exemption given margin requirements may still be imposed indirectly on end-user as a result of initial and variation marginrequirements imposed on swap dealers and major swapparticipants – Winning the battle and loosing the war • Exploring whether there should be a distinction between criteriafor mandatory clearing and "available to trade" designation triggeringswap execution requirements • Ongoing monitoring of trading and marketing activity in swapsto ensure continuing end-user entity classification Jennifer N. Brodoff, Legal Counsel , Supply, Trading & Corp. DevelopmentSuncor Energy Inc. 6:00 Closing Remarks6:15 End of Day OneDEFINING RULES AND REGULATIONS TO COMPLYWITH NEW CFTC RULESDay Two | Wednesday, June 20, 2012LET US BRING THE TRAINING TO YOUmarcus evans In-House Training – Tailored solutions to meet your company's specific needsExceptional Trainers: Annual global course portfolio over 3000 events a year guaranteesaccess to the world's best trainers.Custom designed: Your team provides input into content and delivery through surveyand consultation with trainers to match your unique training needs. Confidentiality: Your team may talk openly about their experiences and organizational needsin a secure and confidential environment.Cost-effective: Maximize your budget by cutting out travel and lodging expenses while alsomaximizing employee productivity and saving time.Any Training, Anytime, AnywhereFor full information on open enrollment and in-house training go to www.marcusevanspt-us.comor contact Anthony Knox at anthonyk@marcusevansch.com.8:00 Registration and Coffee8:25 Opening Remarks by Chairperson8:30 Dodd-Frank Implementation – an End User's Perspective • Examining risk management requirements for Dodd-Frank• Establishing a reporting & record keeping infrastructure• Changing internal processes & systems will have to meet requirements• Reviewing the impact of FERC and the CFTC in the power markets • Applying position limits across all entities • Discussing the impact of capital & collateral issues caused by Dodd-Frank• Understanding audits - What will be the measurement and who will auditChristopher J. Bernard, Head, Trading & Regulatory ComplianceEdison Mission Energy9:20 Understanding the Increased Role of Federal Energy RegulatoryCommission (FERC) in Energy Trading• Reviewing the role FERC has traditionally played in energy trading• Looking at FERC Order 741 to understand the impact of new credit rules on the energy trading market• Clarifying new energy trading risk management regulations to establishnew personnel roles across the trading enterprise• Discussing the role FERC plays under its market manipulation guidanceDaniel A. Mullen, Esq.Chief, Branch 4, Division of Investigations, Office of EnforcementFederal Energy Regulatory Commission (FERC)Sean Collins, Chief, Market Oversight Branch 7Federal Energy Regulatory Commission (FERC)10:10 Networking Break10:40 Administering New Procedures to Maintain Compliance whileStrengthening Internal Energy Trading Methods• Highlighting the precedence of CFTC rulings to prepare for possible appeals to recent guidance• Discovering precedence set by recent appeals• Getting a clear picture of compliance challenges to efficientlyimplement new regulations• Establishing an innovative energy trading compliance program acrossthe enterprise to avoid negative perceptionsCary Oswald, Managing Director, Risk StrategyXcel Energy Services Inc.11:30 Panel DiscussionCoordinating FERC and CFTC Energy Trading ComplianceStrategies to Prevent Redundancies• Recognizing the jurisdictional overlap that exists in CFTC and FERCregulations• Comparing CFTC and FERC regulations to combat potentiallegal discrepancies• Recalling industry concern over (Independent System Operator)ISO challenges and new swap definitions over FERC and CFTC rulings• Creating an enterprise-wide energy trading system to approach FERC and CFTC shared rules• Clarifying new energy trading risk management regulationsto establish new personnel roles across the trading enterprise• Discussing the role FERC plays under its market manipulation guidanceGlade Wishart, Compliance OfficerDB Energy Trading LLCCarolynn Pereyra, Vice President & Counsel, Legal DepartmentDB Energy Trading LLCLopa Parikh, Director, Federal Regulatory Affairs for Energy SupplyEdison Electric InstituteIMPLEMENTING AN ENTERPRISE-WIDE ENERGYTRADING COMPLIANT PRACTICEMore Registration Details, Click HereDay Two | Continued SILVER SPONSOR:Energy market participants are facing one of the most sweeping regulatorydevelopments in recent history with the Dodd-Frank Wall Street Reformand Consumer Protection Act (the "Act"). In addition, the Federal EnergyRegulatory Commission has been increasingly aggressive in policingenergy trading markets. Another federal regulator, the Federal TradeCommission, also has asserted jurisdiction over certain energy products.With significantly increased regulatory authority delegated to FERCand the CFTC, and the lack of detailed rules, the current regulatoryclimate creates an unprecedented amount of legal and financialuncertainty across energy markets. As the regulatory landscape continuesto evolve, it is imperative for energy professionals to understandthe ramifications of this new regulatory and enforcement structurein order to ensure compliance.The 2nd Annual Regulatory Compliance in Energy TradingConference will be designed to provide a practical approach to identifyingthe latest regulatory and legal developments affecting the energy tradingindustry. It will also elicit sound explanations of the best-realized practicesin energy trading compliance, including discussions surroundingthe standards for drafting and negotiating energy trading documentationincluding master trading agreement, margin and collateral documentation,and energy trading policies and procedures. "Great Conference, good location, good speaker line-up, liked the openforum discussions during presentation."World Fuel Services"I enjoyed the interactivity of the sessions."Optimum Energy"Valuable conference, great networking opportunity, great best practicesharing platform, process improvement opportunity."Ontario Power GenerationWith 4,200 lawyers located in 30 countriesand 76 offices throughout Asia Pacific, Europe,the Middle East and the US, DLA Piper is a globallaw firm positioned to help companies with theirlegal needs anywhere in the world. Everythingmatters when it comes to the way we serveand interact with our clients.TESTIMONIALS: PANEL PARTNER:WHY YOU MUST ATTEND:ABOUT SUTHERLAND. Founded in1924, Sutherland Asbill & Brennan LLPprovides legal services throughout theUnited States and worldwide to diverseclients in seven major practice areas: corporate, energy and environmental,financial services, intellectual property, litigation, real estate, and tax.Our clients range from small and medium-sized start-up businessesto a significant number of Fortune 100 companies.CONTINUING LEGAL EDUCATIONmarcus evans has requested CLE accreditation from all appropriate states.marcus evans certifies that this conference has been pre approved for CLE creditsby the Pennsylvania, California and West Virginia State continuing legal education authoritiesand also approved for New Jersey and Colorado CLE credits via reciprocity. To qualifyfor CLE credits you are required to sign-in with your state bar number for every conferenceday that you are in attendance. CLE credits are subject to final approval from the individualstate boards and certificates will be issued 6-8 weeks after the conference is held.12:30 Luncheon1:30 Recognizing the Unique Challenges Faced by the PowerGeneration Market • Articulating the end user exemption approach used by power companies• Considering energy trading compliance as a 'moving target'to prepare internal contingency plans until final definitions are set• Approaching energy trading compliance from a 'What if' approach: Tackling Dodd-Frank implementation from all angles• Working with trading partners, regulators, and vendors to increase the awareness of positions limits and technology infrastructuredevelopment across the industryEmma Coyle, Power Compliance ManagerTransCanada Energy Ltd. 2:20 Spearheading the Implementation of Cultural Initiatives Acrossthe Compliance Enterprise• Enhancing the existing internal culture through regulatory compliance• Utilizing internal resources to train employees on reporting techniquesand structure to enhance the culture of compliance• Introducing a robust managerial education program to assistin monitoringand communicating with employees on trading compliance• Creating monitoring methods with internal ethics and legal offices to alleviate compliance concernsNick Cioll, Chief Financial Officer and Chief Risk OfficerTriEagle Energy, LP3:10 Networking Break3:40 Communicating a Sound Message Across the Enterpriseto Comply with Swap and Position Limit Requirements• Creating an innovative compliance training program to integrate new requirements within the back office• Initiating specific training methods for front, middle and back officeto effectively reach each level of employee• Administering new training techniques to achieve effective results • Working with internal stakeholders to create new materialsto communicate compliance protocols with traineesJesse Dillon, Senior CounselPPL Services Corporation4:30 Closing Remarks4:45 Close of ConferenceFORMALIZING INTERNAL ENERGY TRADING CONTROLSACROSS THE FRONT, MIDDLE AND BACK OFFICE