Course Handbook  Course Handbook

Financial Services RegTech and Regulatory Compliance Forum 2018

Publication Date: November 2018 Number of Volumes: 1
ISBN Number: 9781402432620 Page Count: 256 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: 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 ~ Eversheds Sutherland (US) LLP
Chapter 2: 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 ~ Eversheds Sutherland (US) LLP
Chapter 3: 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 ~ Deputy Director and Deputy Chief Economist, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Chapter 4: Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 12, 2018) James R. Burns ~ Willkie Farr & Gallagher LLP
Peter D. Santori ~ Jacobson Segal (HK), Ltd.
Chapter 5: Eversheds Sutherland, Legal Alert: It’s a Material World—Why the SEC’s Yahoo! Penalty Really Matters (May 4, 2018) Michael Bahar ~ Eversheds Sutherland (US) LLP
Chapter 6: Eversheds Sutherland, Legal Alert: The SEC Wants Companies to Talk About Cybersecurity (March 8, 2018) Michael Bahar ~ Eversheds Sutherland (US) LLP
Chapter 7: John Pruitt, Michael Bahar, Alexander Sand and Tony Ficarrotta, Eversheds Sutherland, Reactions, “Ready to Sign on the Dotted Line?” (November 2017) Michael Bahar ~ Eversheds Sutherland (US) LLP
Chapter 8: 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 ~ Eversheds Sutherland (US) LLP
Chapter 9: FINRA Report on Conflicts of Interest (October 2013) Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 10: Attorney-Client Privilege in Investigations: Evolving Standards Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Index

This Course Handbook was compiled for the program, Financial Services RegTech and Regulatory Compliance Forum 2018.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E. Kirsch, Eversheds Sutherland (US) LLP
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