On-Demand   On-Demand Web Programs

Financial Services RegTech and Regulatory Compliance Forum 2018

Released on: Nov. 19, 2018
Running Time: 06:33:52
Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon the FinTech revolution. Many new rules have been issued which impact the manner in which financial services firms operate. At the same time, these programs have to adapt to financial services regulators’ collection and analysis of a wide variety of data to help inform policy and to detect problematic behavior. At this program, attendees will get a solid foundation about the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give attendees a multi-faceted perspective on requirements and best practices in this area.

Lecture Topics [Total time 06:33:52]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks* [00:03:31]
    Clifford E. Kirsch
  • Featured Speaker [00:32:04]
    Lara Shalov Mehraban
  • The Financial Services Industry: Laying the Foundation [00:59:33]
    Natalie Lamarque, Pablo Quiñones
  • The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective [01:01:05]
    Scott W. Bauguess, Carlo V. di Florio, Scott M. Kirwin
  • Compliance and Legal Challenges Regarding FinTech [00:59:39]
    James R. Burns, Peter D. Santori
  • Data, Privacy and Cybersecurity —A Primer for Financial Services Legal and Compliance Professionals [00:59:17]
    Michael Bahar
  • Approaching Conflicts in Financial Services Firms [01:00:26]
    Clifford E. Kirsch, Scott M. Kirwin, Stacey Song
  • Legal Ethics: The Lawyer’s Role When Something Goes Wrong in Financial Services [00:58:17]
    Benjamin Gruenstein

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • COMPLETE COURSE HANDBOOK
  • Commissioner Hester M. Peirce, U.S. Securities and Exchange Commission, The Why Behind the No: Remarks at the 50th Annual Rocky Mountain Securities Conference (May 11, 2018)
    Clifford E. Kirsch
  • Carole L. Basri and Irving Kagan, Ch. 11: Corporate Compliance Programs, Practising Law Institute, Corporate Legal Departments: Practicing Law in a Corporation (4th Edition) (October 2016)
    Clifford E. Kirsch
  • Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, “The Role of Big Data, Machine Learning and AI in Assessing Risks: A Regulatory Perspective,” Remarks before the 19th Annual Operational Risk North America Conference New York, NY (June 21, 2017)
    Scott W. Bauguess
  • Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 12, 2018)
    James R. Burns, Peter D. Santori
  • Eversheds Sutherland, Legal Alert: It’s a Material World—Why the SEC’s Yahoo! Penalty Really Matters (May 4, 2018)
    Michael Bahar
  • Eversheds Sutherland, Legal Alert: The SEC Wants Companies to Talk About Cybersecurity (March 8, 2018)
    Michael Bahar
  • John Pruitt, Michael Bahar, Alexander Sand and Tony Ficarrotta, Eversheds Sutherland, Reactions, “Ready to Sign on the Dotted Line?” (November 2017)
    Michael Bahar
  • Michael Bahar, Susan Krawczyk, Ben Marzouk, Tony Ficarrotta and Issa Hanna, Eversheds Sutherland, Law 360, “An Emerging Patchwork of Cybersecurity Rules” (August 29, 2017)
    Michael Bahar
  • FINRA Report on Conflicts of Interest (October 2013)
    Clifford E. Kirsch
  • Attorney-Client Privilege in Investigations: Evolving Standards
    Benjamin Gruenstein

Presentation Material

  • Corporate Compliance Overview
    Natalie Lamarque, Pablo Quiñones
  • U.S. Dept. of Justice: Evaluation of Corporate Compliance Programs
    Natalie Lamarque
  • Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity
    James R. Burns, Peter D. Santori
  • California’s new data privacy law: What you need to know
    Michael Bahar
  • Safe in the Knowledge
    Michael Bahar
  • The Lawyer’s Role When Something Goes Wrong in Financial Services
    Benjamin Gruenstein
Chairperson(s)
Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Speaker(s)
Michael Bahar ~ Eversheds Sutherland (US) LLP
Scott W. Bauguess ~ Deputy Director and Deputy Chief Economist, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
James R. Burns ~ Willkie Farr & Gallagher LLP
Carlo V. di Florio ~ Chief Risk Officer and Head of Strategy, FINRA
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Scott M. Kirwin ~ Vice President & Associate General Counsel, Fidelity Investments
Natalie Lamarque ~ Vice President, Sales Practice, Broker-Dealer/RIA, AML, Privacy, Cyber, FCPA, Corporate Compliance Department, New York Life Insurance Company
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission,
Pablo Quiñones ~ Quiñones Law, PLLC
Peter D. Santori ~ Jacobson Segal (HK), Ltd.
Stacey Song ~ Fried, Frank, Harris, Shriver & Jacobson LLP
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s on-demand web programs qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s on-demand web programs qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

Louisiana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

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"Well organized presentation- one of the better I've attended on this subject matter."
-Randall Reed, Wells Fargo

"The SEC/FINRA data analytics portion was especially interesting and well presented."
-Frances Pitts, PNC Bank, National Association


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