Seminar  Program

Broker/Dealer Regulation and Enforcement 2017


Select a Location:

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Opening Remarks and Introduction
Carmen J. Lawrence, Neal E. Sullivan

9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

•     Significant SEC, CFTC and DOJ enforcement initiatives
•     FINRA  examinations and enforcement
•     Market abuse, including cyber-crime, market manipulation,  insider trading,; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud, AML, spoofing, FCPA; financial reporting, gatekeepers and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Henry Klehm III, Susan Schroeder, Manal Sultan, Sanjay Wadhwa



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters.

•     Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
•     Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud

Moderator: Neal E. Sullivan
Speakers: Melanie Senter Lubin, Ronak V. Patel, Tanya Solov

12:30 Networking Break

12:45 Luncheon Keynote
Joseph P. Borg, Director, Alabama Securities Commission; President-Elect, NASAA

1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

• Exam priorities
    o Retail investors including electronic investment advice and wrap fee programs;
    o Senior investors and retirement investments, sales practices;
    o Market wide risks, including AML and Regulation SCI
    o Operational risks including cybersecurity and customer protection
    o Financial risk management
    o FINRA
  
• Current rule initiatives, including: Dodd-Frank rulemaking and study update

Moderator: James A. Brigagliano
Speakers: Gerard S. Citera, Thomas R. Gira, C. Annette Kelton, Marcelo L. Riffaud



2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms' regulatory exposure, as well as their expectations of outside counsel. Topics will include:

•    Managing the regulatory process
•    Challenges and strategies for keeping up with complex businesses
•    Handling whistleblower complaints
•    Advising supervisors and employees
•    Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: Gerald Balacek, Janet A. Broeckel, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

•    Approaches for assessing program effectiveness
•    Strategies for maintaining a robust program
•    International and cross-border regulatory and compliance issues
•    Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission , President-Elect, North American Securities Administrators Association
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Marcelo L. Riffaud ~ Managing Director and Global Head of Markets Legal, Americas, Barclays
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sanjay Wadhwa ~ Senior Associate Regional Director (Enforcement), New York Regional Office, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and rate code PLII. You can also Book Online- Kimpton.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Opening Remarks and Introduction
Carmen J. Lawrence, Neal E. Sullivan

9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

•     Significant SEC, CFTC and DOJ enforcement initiatives
•     FINRA  examinations and enforcement
•     Market abuse, including cyber-crime, market manipulation,  insider trading,; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud, AML, spoofing, FCPA; financial reporting, gatekeepers and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Henry Klehm III, Susan Schroeder, Manal Sultan, Sanjay Wadhwa



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters.

•     Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
•     Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud

Moderator: Neal E. Sullivan
Speakers: Melanie Senter Lubin, Ronak V. Patel, Tanya Solov

12:30 Networking Break

12:45 Luncheon Keynote
Joseph P. Borg, Director, Alabama Securities Commission; President-Elect, NASAA

1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

• Exam priorities
    o Retail investors including electronic investment advice and wrap fee programs;
    o Senior investors and retirement investments, sales practices;
    o Market wide risks, including AML and Regulation SCI
    o Operational risks including cybersecurity and customer protection
    o Financial risk management
    o FINRA
  
• Current rule initiatives, including: Dodd-Frank rulemaking and study update

Moderator: James A. Brigagliano
Speakers: Gerard S. Citera, Thomas R. Gira, C. Annette Kelton, Marcelo L. Riffaud



2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms' regulatory exposure, as well as their expectations of outside counsel. Topics will include:

•    Managing the regulatory process
•    Challenges and strategies for keeping up with complex businesses
•    Handling whistleblower complaints
•    Advising supervisors and employees
•    Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: Gerald Balacek, Janet A. Broeckel, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

•    Approaches for assessing program effectiveness
•    Strategies for maintaining a robust program
•    International and cross-border regulatory and compliance issues
•    Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission , President-Elect, North American Securities Administrators Association
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Marcelo L. Riffaud ~ Managing Director and Global Head of Markets Legal, Americas, Barclays
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sanjay Wadhwa ~ Senior Associate Regional Director (Enforcement), New York Regional Office, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Opening Remarks and Introduction
Carmen J. Lawrence, Neal E. Sullivan

9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

•     Significant SEC, CFTC and DOJ enforcement initiatives
•     FINRA  examinations and enforcement
•     Market abuse, including cyber-crime, market manipulation,  insider trading,; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud, AML, spoofing, FCPA; financial reporting, gatekeepers and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Henry Klehm III, Susan Schroeder, Manal Sultan, Sanjay Wadhwa



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters.

•     Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
•     Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud

Moderator: Neal E. Sullivan
Speakers: Melanie Senter Lubin, Ronak V. Patel, Tanya Solov

12:30 Networking Break

12:45 Luncheon Keynote
Joseph P. Borg, Director, Alabama Securities Commission; President-Elect, NASAA

1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

• Exam priorities
    o Retail investors including electronic investment advice and wrap fee programs;
    o Senior investors and retirement investments, sales practices;
    o Market wide risks, including AML and Regulation SCI
    o Operational risks including cybersecurity and customer protection
    o Financial risk management
    o FINRA
  
• Current rule initiatives, including: Dodd-Frank rulemaking and study update

Moderator: James A. Brigagliano
Speakers: Gerard S. Citera, Thomas R. Gira, C. Annette Kelton, Marcelo L. Riffaud



2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms' regulatory exposure, as well as their expectations of outside counsel. Topics will include:

•    Managing the regulatory process
•    Challenges and strategies for keeping up with complex businesses
•    Handling whistleblower complaints
•    Advising supervisors and employees
•    Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: Gerald Balacek, Janet A. Broeckel, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

•    Approaches for assessing program effectiveness
•    Strategies for maintaining a robust program
•    International and cross-border regulatory and compliance issues
•    Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission , President-Elect, North American Securities Administrators Association
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Marcelo L. Riffaud ~ Managing Director and Global Head of Markets Legal, Americas, Barclays
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sanjay Wadhwa ~ Senior Associate Regional Director (Enforcement), New York Regional Office, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.
Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Opening Remarks and Introduction
Carmen J. Lawrence, Neal E. Sullivan

9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

•     Significant SEC, CFTC and DOJ enforcement initiatives
•     FINRA  examinations and enforcement
•     Market abuse, including cyber-crime, market manipulation,  insider trading,; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud, AML, spoofing, FCPA; financial reporting, gatekeepers and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Henry Klehm III, Susan Schroeder, Manal Sultan, Sanjay Wadhwa



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters.

•     Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
•     Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud

Moderator: Neal E. Sullivan
Speakers: Melanie Senter Lubin, Ronak V. Patel, Tanya Solov

12:30 Networking Break

12:45 Luncheon Keynote
Joseph P. Borg, Director, Alabama Securities Commission; President-Elect, NASAA

1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

• Exam priorities
    o Retail investors including electronic investment advice and wrap fee programs;
    o Senior investors and retirement investments, sales practices;
    o Market wide risks, including AML and Regulation SCI
    o Operational risks including cybersecurity and customer protection
    o Financial risk management
    o FINRA
  
• Current rule initiatives, including: Dodd-Frank rulemaking and study update

Moderator: James A. Brigagliano
Speakers: Gerard S. Citera, Thomas R. Gira, C. Annette Kelton, Marcelo L. Riffaud



2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms' regulatory exposure, as well as their expectations of outside counsel. Topics will include:

•    Managing the regulatory process
•    Challenges and strategies for keeping up with complex businesses
•    Handling whistleblower complaints
•    Advising supervisors and employees
•    Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: Gerald Balacek, Janet A. Broeckel, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

•    Approaches for assessing program effectiveness
•    Strategies for maintaining a robust program
•    International and cross-border regulatory and compliance issues
•    Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission , President-Elect, North American Securities Administrators Association
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Marcelo L. Riffaud ~ Managing Director and Global Head of Markets Legal, Americas, Barclays
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sanjay Wadhwa ~ Senior Associate Regional Director (Enforcement), New York Regional Office, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

Philadelphia Groupcast Location

Pennsylvania Bar Institute, The CLE Conference Center, Wanamaker Building, 10th floor, Suite 1010, Center City Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). (800) 932-4637. Click here for directions.

Philadelphia Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Marriott Residence Inn

Ritz Carlton

Loews Philadelphia

Philadelphia Marriott Downtown

Hilton Garden Inn

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Opening Remarks and Introduction
Carmen J. Lawrence, Neal E. Sullivan

9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

•     Significant SEC, CFTC and DOJ enforcement initiatives
•     FINRA  examinations and enforcement
•     Market abuse, including cyber-crime, market manipulation,  insider trading,; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud, AML, spoofing, FCPA; financial reporting, gatekeepers and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Henry Klehm III, Susan Schroeder, Manal Sultan, Sanjay Wadhwa



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters.

•     Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
•     Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud

Moderator: Neal E. Sullivan
Speakers: Melanie Senter Lubin, Ronak V. Patel, Tanya Solov

12:30 Networking Break

12:45 Luncheon Keynote
Joseph P. Borg, Director, Alabama Securities Commission; President-Elect, NASAA

1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

• Exam priorities
    o Retail investors including electronic investment advice and wrap fee programs;
    o Senior investors and retirement investments, sales practices;
    o Market wide risks, including AML and Regulation SCI
    o Operational risks including cybersecurity and customer protection
    o Financial risk management
    o FINRA
  
• Current rule initiatives, including: Dodd-Frank rulemaking and study update

Moderator: James A. Brigagliano
Speakers: Gerard S. Citera, Thomas R. Gira, C. Annette Kelton, Marcelo L. Riffaud



2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms' regulatory exposure, as well as their expectations of outside counsel. Topics will include:

•    Managing the regulatory process
•    Challenges and strategies for keeping up with complex businesses
•    Handling whistleblower complaints
•    Advising supervisors and employees
•    Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: Gerald Balacek, Janet A. Broeckel, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

•    Approaches for assessing program effectiveness
•    Strategies for maintaining a robust program
•    International and cross-border regulatory and compliance issues
•    Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission , President-Elect, North American Securities Administrators Association
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Marcelo L. Riffaud ~ Managing Director and Global Head of Markets Legal, Americas, Barclays
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sanjay Wadhwa ~ Senior Associate Regional Director (Enforcement), New York Regional Office, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

Mechanicsburg Groupcast Location

Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg PA 17055, (800) 932-4637. Click here for directions.

Mechanicsburg Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Hampton Inn Harrisburg-West, 4950 Ritter Road, Mechanicsburg, Pennsylvania, USA 17055. Tel: 717-691-1300. Fax: 717-691-9692.

Homewood Suites by Hilton® Harrisburg-West Hershey Area, 5001 Ritter Road, Mechanicsburg, Pennsylvania, United States 17055. Tel: 1-717-697-4900. Fax: 1-717-697-9101.

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Opening Remarks and Introduction
Carmen J. Lawrence, Neal E. Sullivan

9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

•     Significant SEC, CFTC and DOJ enforcement initiatives
•     FINRA  examinations and enforcement
•     Market abuse, including cyber-crime, market manipulation,  insider trading,; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud, AML, spoofing, FCPA; financial reporting, gatekeepers and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Henry Klehm III, Susan Schroeder, Manal Sultan, Sanjay Wadhwa



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters.

•     Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
•     Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud

Moderator: Neal E. Sullivan
Speakers: Melanie Senter Lubin, Ronak V. Patel, Tanya Solov

12:30 Networking Break

12:45 Luncheon Keynote
Joseph P. Borg, Director, Alabama Securities Commission; President-Elect, NASAA

1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

• Exam priorities
    o Retail investors including electronic investment advice and wrap fee programs;
    o Senior investors and retirement investments, sales practices;
    o Market wide risks, including AML and Regulation SCI
    o Operational risks including cybersecurity and customer protection
    o Financial risk management
    o FINRA
  
• Current rule initiatives, including: Dodd-Frank rulemaking and study update

Moderator: James A. Brigagliano
Speakers: Gerard S. Citera, Thomas R. Gira, C. Annette Kelton, Marcelo L. Riffaud



2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms' regulatory exposure, as well as their expectations of outside counsel. Topics will include:

•    Managing the regulatory process
•    Challenges and strategies for keeping up with complex businesses
•    Handling whistleblower complaints
•    Advising supervisors and employees
•    Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: Gerald Balacek, Janet A. Broeckel, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

•    Approaches for assessing program effectiveness
•    Strategies for maintaining a robust program
•    International and cross-border regulatory and compliance issues
•    Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission , President-Elect, North American Securities Administrators Association
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Marcelo L. Riffaud ~ Managing Director and Global Head of Markets Legal, Americas, Barclays
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sanjay Wadhwa ~ Senior Associate Regional Director (Enforcement), New York Regional Office, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

Pittsburgh Groupcast Location

Pennsylvania Bar Institute, Professional Development Conference Center, 339 Sixth Avenue, Suite 760, Pittsburgh, Pennsylvania 15222-2517. (412) 802-2300. Click Here for Directions

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

What You Will Learn

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Who Should Attend

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Opening Remarks and Introduction
Carmen J. Lawrence, Neal E. Sullivan

9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

•     Significant SEC, CFTC and DOJ enforcement initiatives
•     FINRA  examinations and enforcement
•     Market abuse, including cyber-crime, market manipulation,  insider trading,; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud, AML, spoofing, FCPA; financial reporting, gatekeepers and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Henry Klehm III, Susan Schroeder, Manal Sultan, Sanjay Wadhwa



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities
State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters.

•     Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
•     Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud

Moderator: Neal E. Sullivan
Speakers: Melanie Senter Lubin, Ronak V. Patel, Tanya Solov

12:30 Networking Break

12:45 Luncheon Keynote
Joseph P. Borg, Director, Alabama Securities Commission; President-Elect, NASAA

1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

• Exam priorities
    o Retail investors including electronic investment advice and wrap fee programs;
    o Senior investors and retirement investments, sales practices;
    o Market wide risks, including AML and Regulation SCI
    o Operational risks including cybersecurity and customer protection
    o Financial risk management
    o FINRA
  
• Current rule initiatives, including: Dodd-Frank rulemaking and study update

Moderator: James A. Brigagliano
Speakers: Gerard S. Citera, Thomas R. Gira, C. Annette Kelton, Marcelo L. Riffaud



2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms' regulatory exposure, as well as their expectations of outside counsel. Topics will include:

•    Managing the regulatory process
•    Challenges and strategies for keeping up with complex businesses
•    Handling whistleblower complaints
•    Advising supervisors and employees
•    Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: Gerald Balacek, Janet A. Broeckel, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

•    Approaches for assessing program effectiveness
•    Strategies for maintaining a robust program
•    International and cross-border regulatory and compliance issues
•    Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Lauri Scoran



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission , President-Elect, North American Securities Administrators Association
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Marcelo L. Riffaud ~ Managing Director and Global Head of Markets Legal, Americas, Barclays
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sanjay Wadhwa ~ Senior Associate Regional Director (Enforcement), New York Regional Office, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
Ice Miller LLP, One American Square, Suite 2900, Indianapolis, IN 46282
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