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Showing 1 - 25 of 45 Results


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Ethics for Financial Industry Lawyers 2018

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From the program: Ethics for Financial Industry Lawyers 2018

Released on: Mar. 18, 2018

The program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the Dodd-Frank Act. Lecture Topics [Total RunTime: 02:04:33] Segments with an asterisk (*) are available only with the purchase of the entire program. Introduction* [00:00:52] Michael S. Sackheim, Howard Schneider Ethics for Financial Industry Lawyers [02:03:41]  ...

Financial Services Technology 2018: Avoidance of Risk

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From the program: Financial Services Technology 2018: Avoidance of Risk

Released on: May. 7, 2018

The financial services industry is one of the most heavily regulated industries and the regulations are constantly changing. The Dodd-Frank Wall Street Reform and Consumer Protection Act changed the landscape and companies must maintain their vigilance to comply with its requirements. Federal and state agencies, including the OCC, FFIEC, Federal Reserve and CFPB, have issued regulations, guidance and recommendations regarding data security, cybersecurity, ...

Risks of Social Media for Financial Services Providers

Transcripts  Transcripts    

Recorded on: May. 2, 2018

RICHARD RAYSMAN: OK. Well, our first panel with our three panels here is the risks of social media for financial services providers. And there are some people who say that the internet revolution is actually bigger than the Industrial Revolution. I don't know if I exactly agree with that. But certainly now with artificial intelligence coming in, the internet and technology is starting to get into manufacturing. It permeates every part of our society. ...

Data Security Issues Facing Financial Institutions – a CISO’s Perspective

Transcripts  Transcripts    

Recorded on: May. 2, 2018

RICHARD RAYSMAN: Some comments about the last panel. I've been studying a lot about ethics by watching Perry Mason, the old Perry Mason reruns, and Perry's very good on confidentiality, [INAUDIBLE] confidentiality, as far as pretexting, making sure that you don't make believe you're somebody you're not. Perry's pretty good about that. But his side kick, his investigator, Paul Drake, does a lot of pretexting. So I don't know that how it would come ...

Financial Services Technology - Global Risk and Investigations

Transcripts  Transcripts    

Recorded on: May. 2, 2018

RICHARD RAYSMAN: This is a panel I am looking forward to-- Global Risk and Investigations. We have two Justice Department guys with this-- one current and one former. So all the way to my left is Ben Fitzpatrick. Ben is a senior counsel in the Computer Crime and Intellectual Property Section called CCIPS, of the Criminal Division of the Department of Justice. His portfolio includes working on cybersecurity policy issues, providing advice to cybercrime ...

Vetting Vendor Service Providers for Financial Services Firms

Transcripts  Transcripts    

Recorded on: May. 2, 2018

RICHARD RAYSMAN: Welcome back. We are reconvening here. The next topic is vetting vendor service providers for financial services firms. We actually covered some of the security piece earlier in the second panel, but this is a really much broader panel on vending, vendors service providers. And let me just introduce the chair of the panel, Jeremy Pomeroy, who is in the middle. Jeremy's a founder of the Pomeroy Law Group. He focuses his practice on ...

Financial Services Technology - Request for Proposal (RFP) Preparation

Transcripts  Transcripts    

Recorded on: May. 2, 2018

RICHARD RAYSMAN: Well, welcome to our next panel, which is a Request for Proposal Preparation. We've talked about strategic alliances and all these other relationships, but some of these things start with a request for proposal, and I would like to introduce our panelists. To my immediate left, your right, is Mike Cammarota, who supervises a team of lawyers that facilitate ease of doing business in deal shaping and negotiating with clients in North ...

Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze -- Fiduciary Investment Advice: Litigation and Enforcement Perspectives

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From the program: Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze

Recorded on: May. 11, 2018

Taken from the Web Program Fiduciary Investment Advice 2018 Recorded May, 2018 in New York [01:01:15] What are the lessons from recent enforcement actions? What private rights of action are available? How does the concept of fiduciary investment advice play out in private litigation and arbitration? Defending a fiduciary breach claim Identifying conflicts and administering a conflicts management framework: FINRA guidance ...

The Volcker Rule 2018: What It Means for Financial Institutions and Markets

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From the program: The Volcker Rule 2018: What It Means for Financial Institutions and Markets

Released on: May. 15, 2018

With the new administration and an evolving regulatory focus in 2017, the Volcker Rule was often cited as a target for change, if not repeal.  Meanwhile, banks and financial institutions continued their Volcker Rule compliance duties throughout the year and 2017 even witnessed the Rule’s first enforcement action.  Discussion of Rule changes reemerged in 2017 with 2018 touted as a potential window where any adjustments would be made.  ...

Fiduciary Investment Advice: Litigation and Enforcement Perspectives

Transcripts  Transcripts    

Recorded on: May. 11, 2018

CLIFFORD E. KIRSCH: Great. Thanks, Danielle. And welcome back to this panel. As we get started, the question I'd ask you to think about as we deal with the next hour is how best, if you work at a firm or counsel a firm-- how best to structure, establish, or maintain a program to identify, deal with conflicts, mitigate conflicts, disclose conflicts, and the rest. And that's because, as we said in the opening, as the rulemaking is getting shaped, the ...

What is Fiduciary Investment Advice?

Transcripts  Transcripts    

Recorded on: May. 11, 2018

CLIFFORD E. KIRSCH: So what we're going to be talking a lot about is the Fifth Circuit decision at a subsequent panel. We're also going to be talking about the SEC's proposed rules. So we'll cover a lot of that. But there's a decades long history that got us there. And a lot of people-- ANDREW J. "BUDDY" DONOHUE: And we're here because we actually have been here for decades. [LAUGHTER] CLIFFORD E. KIRSCH: Well, I thought you were going to say you ...

The Volcker Rule - Compliance and Conformance

Transcripts  Transcripts    

Recorded on: May. 11, 2018

DEREK M. BUSH: Great. Thanks, Ken. And so yeah, let's get started with our compliance panel. We're very fortunate to have a lot of expertise on this panel again this year. Curtis Tao from Citi, Rena Shadowitz from U of A, Joerg Riegel from Soc Gen, and Chris Scarpati from PWC. We need a term for whoever's done this four years in a row, like a lifer. They're lifers at this program. And we're delighted to have Rena with us and Joerg too as a veteran ...

The Volcker Rule - The Washington Perspective

Transcripts  Transcripts    

Recorded on: May. 11, 2018

ANNA M. HARRINGTON: OK, thank you, Derek and Bill, for the invitation to speak here today. And before I start, I should make the standard disclaimer that my remarks today are my own, and not those of the Federal Reserve Board. So I thought, going first, it would be useful to give a little process background to set the stage. Because I think I do agree with Derek, that it's interesting times for the Volcker Rule. So, as you know, the Volcker Rule, ...

The Volcker Rule - Proprietary Trading

Transcripts  Transcripts    

Recorded on: May. 11, 2018

DEREK M. BUSH: OK, I think we're going to get started. Next up is our prop trading panel. I'll give a reminder to our friends from the press that all the comments of our panelists are off the record. You have bios in your packets, so I won't spend a lot of time introducing our panelists. We have, Matt is here from Wells Fargo, and Polly's here from J.P. Morgan Chase, and we have Gabe Rosenberg here from Davis Polk & Wardwell. So I think Gabe is going ...

Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice

Transcripts  Transcripts    

Recorded on: May. 11, 2018

CLIFFORD E. KIRSCH: All right. So as we go through this panel, think about, in terms of what questions say ask yourself, how is the reform package going to change sort of the broker dealer landscape which we'll get to, but also the advising landscape. So think along those. Again, there's targeted proposals to both. And on this panel we're looking to take a deeper dive into the SEC reform package. And I'm very pleased to be joined by David Blass. ...

The Volcker Rule - Funds

Transcripts  Transcripts    

Recorded on: May. 11, 2018

SPEAKER 1: Which focuses on funds. Our panelists today, to my immediate left, and question asker on the prior panel is Yosef Ibrahimi, who's a director in the General Counsel department of Credit Suisse. He's lead bank regulatory lawyer for Credit Suisse's Asset Management business, and advises on Bank Holding Company Act, Volcker Rule, and other issues that have emerged from Dodd-Frank. And on his left is Satish Kini, who's a partner at Debevoise ...

The Volcker Rule - Foreign Banks

Transcripts  Transcripts    

Recorded on: May. 11, 2018

WILLIAM J. SWEET JR: Thank you very much. So my question for the audience to start this off is, who here has been to the Preakness? Do we have anyone who's attended the Preakness? OK, I live in Baltimore. I probably live about a mile from Pimlico. And on the 19th, the Preakness is going to be held. And as we would say at the Preakness, we're now coming into the final stretch. This is our last presentation for the day. So we're going to get you out ...

Dodd-Frank Act Rightsized

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Recorded on: Jun. 13, 2018

Taken from the Web Program Recorded June, 2018 in New York Dodd-Frank Act Rightsized [01:03:05] On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Reform Act”), the most significant financial reform legislation since the landmark Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. While this is not a complete roll-back of regulations imposed ...

Dodd-Frank Act Rightsized

Transcripts  Transcripts    

Recorded on: Jun. 20, 2018

JAMIE: It is now my pleasure to turn this briefing over to Lee Meyerson. LEE MEYERSON: Hey, Jamie. As part of our update on regulatory developments and the newest Dodd-Frank regulation, we thought we'd start by talking about the background. Because that will give you some flavor about how likely it is or isn't that further reform will come through, or whether this is the high water mark. The idea of reforming Dodd-Frank goes back to, basically, very ...

Negotiating Real Estate Deals 2018

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From the program: Negotiating Real Estate Deals 2018

Released on: Jun. 28, 2018

The 2017 real estate market is well behind us. The previous year closed with some leveling indicators, signaling a slowdown from the dazzling growth the market witnessed in the last few years. 2018 is presenting a more tempered pace and environment, as real estate forecasters seem to indicate. U.S. real estate appears to remain a safe bet in the eyes of domestic and international investors, but new challenges and risks are abound in this ever-changing ...

FinTech 2018

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From the program: FinTech 2018

Released on: Aug. 20, 2018

The financial services industry is changing rapidly. Technology is revolutionizing securities investing and trading, transaction payment methodologies, and the provision of investment advice. This program will explore the legal and compliance issues arising out of the explosive advances in financial technology, including crowdfunding, blockchain technology and cryptocurrency, including bitcoin, and the advent of robo-advisors, among others.   Lecture ...

Robo-Advisers and Financial Technologies for Trading – Regulatory Guidance and Risk Management

Transcripts  Transcripts    

Recorded on: Aug. 14, 2018

K. SUSAN GRAFTON: What is a robo-advisor? I don't know whether, Derek or Paul, you want to add-- PAUL STEVENS: So I think this is my point. I will start out. I think there's-- I guess we can break it down into three areas. There's business, law, and regulation. I think we're talking about those three things. What does it mean to be a robo-advisor in the business world? It's essentially a way of moving away from the individual person to person relationship ...

FinTech AML, Cybersecurity and Privacy

Transcripts  Transcripts    

Recorded on: Aug. 14, 2018

SUSAN GRAFTON: Hi. Good morning. So we're going to now switch a little bit and talk about AML, cyber security, and privacy as they relate to Fintech businesses. And I'm thrilled to introduce another really terrific panel. To my left we have Alma Angotti, whom I worked with at the SEC. We will not say how long ago it was, but she was in the Division of Enforcement. And she is currently managing director and co-leader of the global investigations and ...

Innovative uses of Distributed Ledger Technology

Transcripts  Transcripts    

Recorded on: Aug. 14, 2018

SUSAN GRAFTON: OK, so thanks, everyone, for rejoining us for the last panel. It's going to talk about innovative uses of distributed ledger technology. And we have three just really terrific speakers. I'm very excited to hear from them. Immediately to my left is Allen Brandt, who is the executive director and associate general counsel at the Depository Trust and Clearing Corporation. And he serves as the firm's chief privacy officer and is DTCC's ...

BlockChain and Cryptocurrencies – The Global Regulatory Landscape

Transcripts  Transcripts    

Recorded on: Aug. 14, 2018

K. SUSAN GRAFTON: So I'll start introducing our next panel as they join us here on stage. And he doesn't know it yet, but immediately to my left is going to be Dan Alter, who is a partner in the New York office of Murphy McGonigle where he focuses on blockchain and other fintech businesses. He's the former general counsel of the New York Department of Financial Services. To his left is Jeff Davis, who's deputy general counsel of NASDAQ and Chief ...


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