transcript   Transcript

In-House Broker/Dealer Lawyer Roundtable

Recorded on: Oct. 17, 2017
Running Time: 01:00:23

Full Transcript:

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Taken from the Web Program Broker/Dealer Regulation and Enforcement 2017 recorded October 2017 in New York.

In-House Broker/Dealer Lawyer Roundtable [01:00:23]

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, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Trends in SEC Enforcement & Internal Investigations (August 17, 2017)
    Collen P. Mahoney, Joshua A. Ellis, Andrew M. Lawrence, Charles F Walker, Erich T. Schwartz
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
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