Energy Trading Compliance & Regulatory Enforcement

A PRE-CONFERENCE PRIMER:November 17, 2011

8:00 am – 10:30 am (registration opens at 7:30 am)

FUNDAMENTALS OF ENERGY TRADING COMPLIANCE

Robert Fleishman
Of Counsel
Covington & Burling LLP (Washington, DC)

Now in its fifth year, this extremely popular primer will provide a comprehensive overview of the regulatory framework governing the complex area of energy trading. It will provide definitions, clarification of key terminology, statutes and regulations, and an overview of key stakeholders involved in energy trading compliance programs. Topics include:

• Key terms and definitions crucial to compliance programs: understanding market manipulation, transparency, and reliability
• Overview of FERC and CFTC’s mandate, role and responsibilities
• FPA, NGA, and NGPA: statute violations that lead to FERC enforcement
• What do FERC and CFTC actually regulate?
• How does CFTC fit into the energy trading compliance space?
• Overview of key provisions in EP Act of 2005 and Dodd-Frank and how they have shaped the regulation and enforcement of energy trading
• Identifying and explaining the responsibilities of agencies with regulatory and enforcement responsibilities regarding regulating energy trading (FERC, CFTC, FTC, SEC, and DOJ)
• Explaining how enforcement mechanisms are applied
• Understanding the basic framework of an energy trading compliance program

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