Seminars & Webcasts

Banking

New York, NY

• Aug. 8, 2013 New York, NY

The intersection of banking and brokerage regulation: What are the ethical and practical issues for lawyers in an era of overlapping regulatory jurisdictions?  The dangers and pitfalls of broker-dealer enforcement: What are the ethical and practical issues for lawyers in handling enforcement matters? The ethical responsibilities of legal and compliance professionals in regulated companies: What are the duties and potential liabilities ...

• Oct. 16, 2013 New York, NY

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act is substantially changing how these important instruments are regulated and transacted. This program will introduce you to both the instruments and their new environment.A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or entity between the parties thereto. Derivatives ...

• Oct. 17 - 18, 2013 New York, NY

The Dodd-Frank Act establishes a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. The far-reaching effect of the Dodd-Frank Act upon the OTC markets is only now becoming clear.The new regulatory regime touches the activities of all participants in the swaps markets, from end users to major swap participants to swap dealers. The new regulations will also ...

• Oct. 30, 2013 New York, NY

In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms’ corporate compliance and ethics programs are under intense observation. At this program, attendees will get a solid foundation in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators ...

• Dec. 5, 2013 New York, NY

As the securitization industry emerges from the financial crisis, it faces an onslaught of new regulation and uncertainty. Many transactions have been downgraded and have suffered unforeseeable losses. Additionally, investor confidence in structured products has been badly shaken. Moreover, many transactions have been subject to restructurings and litigation of various types. Will these reforms be sufficient to restore investor confidence?At this ...

• Dec. 11, 2013 New York, NY

2013 will be a watershed year for the financial services industry. Many of the most significant regulatory changes flowing from the Dodd-Frank Act will be finalized and adopted, affecting everything from capital levels and consumer lending practices to executive compensation and asset management. Compliance expectations and enforcement actions will continue to increase. At the same time, the continuing economic challenges facing the industry will ...

• Apr. 7 - 8, 2014 New York, NY

Mark Your Calendar.  More Information to Come!

• Dec. 10, 2014 New York, NY

Mark Your Calendar.  More Information to Come!