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Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze

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From the program: Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze

Released on: Apr. 28, 2017

The legal framework applying to fiduciary investment advice is undergoing a sea change.  The DOL has finalized rulemaking that is dramatically changing the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. At the same time, the SEC continues to advance its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard ...

The DOL Conflicts Rule

Transcripts  Transcripts    

Recorded on: Apr. 27, 2017

CLIFFORD KIRSCH: All right. Welcome back to our final-- our final panel. And I asked the panelists to really take a deep dive into where we are today with the DOL rule, and how firms are reacting and thinking about it. And we have a good panel here. You're in good hands for the discussion. To my far right is Allison Wielobob. Allison is my colleague at Eversheds Sutherland and I work closely with her. I always enjoy working with Alison. She's a councilwoman ...

The Advisers Act; Broker Dealer and Bank Fiduciary Requirements

Transcripts  Transcripts    

Recorded on: Apr. 27, 2017

CLIFFORD KIRSCH: Thanks. And we are ready for our next panel. And as I mentioned in the introduction, what we're looking to do on this panel is develop the framework more and flush it out with respect to advisers, broker dealers, and from the bank end of things. And you are in excellent hands. Priya, Mary, and Jen will walk us through this material. I'm very, very pleased to introduce Priya Udeshi Crick, who is Associate General Counsel at the Office ...

Leveraged Financing 2017 -- Leveraged Financing in 2017

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From the program: Leveraged Financing 2017

Recorded on: May. 4, 2017

Taken from the Web Program Leveraged Financing 2017 recorded May, 2017 in New York. Leveraged Financing in 2017 [01:37:28] Market overview Business and legal drivers of deal activity Sources of financing; the rise of direct lending and its implications Trends in deal structures and terms Product, market and geographic comparisons Case law developments and implications Impact of changes in monetary or fiscal ...

Leveraged Financing in 2017

Transcripts  Transcripts    

Recorded on: May. 4, 2017

PATRICK RYAN: Wanted to introduce our other two panelists. To David's left is Michele Penzer. She's the managing partner of the New York office of Latham and Watkins and is a member of the firm's finance department and the banking and project finance practices. She has built a successful finance practice navigating clients through some of the most volatile market conditions over the past two decades. And to her left is Tony McMahon, who is an executive ...

Direct Lending and Other Alternative Capital

Transcripts  Transcripts    

Recorded on: May. 4, 2017

PATRICK J. RYAN: Good. Welcome back, everybody. We're going to move on to our next panel. Direct lending and alternative capital. So we'll start with the introductions of the panelists. To David's left is Stephen Boyko. He's a partner in the corporate department, and co-head of the private credit finance group, at Proskauer. And he focuses primarily on finance transactions, particularly those involving private sources of capital. Very germane to ...

Financing an Acquisition

Transcripts  Transcripts    

Recorded on: May. 4, 2017

DAVID A. BRITTENHAM: Well, before I introduce the panel, I have a news flash from the OCC. Controller Thomas Currie is stepping down May 5th. So apropos of our regulatory discussion this morning, the OCC, which has been quite vigorous in the leveraged lending guidance space, is going to have a new head. We are blessed now with another panel of all stars. To my immediate left is-- I'm making sure. Jen is a member of Cahill Gordon's corporate practice ...

Financial Services Technology 2017: Avoidance of Risk

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From the program: Financial Services Technology 2017: Avoidance of Risk

Released on: May. 13, 2017

The financial services industry is heavily regulated, especially in the area of data security and privacy - and the regulations are constantly changing. The Dodd-Frank Wall Street Reform and Consumer Protection Act changed the industry 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 all issued regulations, guidance and recommendations ...

Risks of Social Media for Financial Services Providers

Transcripts  Transcripts    

Recorded on: May. 8, 2017

RICHARD RAYSMAN: With that, I'm going to introduce the chair of our social media panel, and the moderator who's going to be moderating. And to my immediate left is Jennifer Smith Finnegan, who is a general counsel at Herrick, Feinstein, and focuses her practice on professional responsibility, legal ethics, risk management, and compliance issues. Prior to serving as the firm's general counsel, Jenny was a partner in Herrick's legal litigation department, ...

Data Security Issues Facing Financial Institutions - A CISO’s Perspective

Transcripts  Transcripts    

Recorded on: May. 8, 2017

RICHARD RAYSMAN: The issues on social media questions I get-- and I don't know anybody how much this is prosecuted-- but it's copyright and fair use. A client comes and says, well, can I use this photo? It's fair use. And I go back to my-- I like my history when it's a copyright issue. So quiz for everybody. When was the first copyright statute, not necessarily in America, but when was the first copyright statute? Somebody should know this from intellectual ...

Financial Services IT - Strategic Alliances and Ownership of IP and Data

Transcripts  Transcripts    

Recorded on: May. 8, 2017

RICHARD RAYSMAN: We had a number of speakers coming in from Washington, DC today and the people who took the train are here and my partner decided to fly and he's sitting on the tarmac. So my recommendation to everybody here is take the [INAUDIBLE], that's what I do. And I have concurrence from Gary Barnett and a few other people. So welcome to our afternoon session and our first session is financial services-- well, it's strategic alliances, ownership ...

Financial Services IT - Request for Proposal (RFP) Preparation

Transcripts  Transcripts    

Recorded on: May. 8, 2017

RICHARD RAYSMAN: OK. Welcome back. We have our next presentation where-- we switched presentations. Global investigations is going to go at four o'clock. So our next one is request for proposal preparation. We're fortunate to have three speakers who really have been down in the trenches with preparing RFPs, which are key to really getting a good deal for the customer. The person going to be moderating the panel is to my left, Dennis Conley. Dennis ...

The Volcker Rule 2017: What it Means for Financial Institutions and Markets

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From the program: The Volcker Rule 2017: What it Means for Financial Institutions and Markets

Released on: May. 16, 2017

From the day it was proposed, Section 619 of the Dodd-Frank Act, broadly referred to as The Volcker Rule, was met with controversy.  The Rule, which banned commercial banks from engaging in most forms of proprietary trading, made significant impacts to the financial industry from the moment it was ratified throughout its challenging implementation process and conformance deadline in 2015.   Yet with the new administration and legislature, ...

The Volcker Rule - Compliance and Conformance

Transcripts  Transcripts    

Recorded on: May. 11, 2017

WILLIAM J. SWEET JR: So thank you for joining us this afternoon for the second half of our program where we'll be hearing even more interesting things than we heard this morning, which was a great morning. This is our compliance panel. And on my left is Bob Maxant, who is a partner at Deloitte where he's in charge of the governance risk and regulatory practice, and he's also the managing partner leading the Volcker Rule service. To his left is Chris ...

The Volcker Rule - Proprietary Trading

Transcripts  Transcripts    

Recorded on: May. 11, 2017

DEREK BUSH: OK. I think we're about ready to get started if you can take your seats. Our next panel is our prop panel, which again is something of a reunion from last year. I won't bother summarizing their bios because you have them in the packet and online. But just to run down our row here, we have Jonathan Gould from BlackRock, Mary Lou Guttmann from Wells Fargo, Camille Orme from Sullivan and Cromwell, Meg Tyre from Davis Polk, and Curtis Tao ...

The Volcker Rule - Funds

Transcripts  Transcripts    

Recorded on: May. 11, 2017

WILLIAM J. SWEET: Well, we are now shifting to the other major focus of the Volcker Rule. And as Anna, who is staying with us, has indicated, Phil, the good news here is this is pretty cut and dried. This is not a [INAUDIBLE]. I think there is a big difference in my experience, in that I think there is a lot less interaction with the agencies on this subject. But there's a lot of action. It just happens to be self-help between the institutions and ...

The Volcker Rule - Foreign Banks

Transcripts  Transcripts    

Recorded on: May. 11, 2017

DEREK M. BUSH: Great. Well, let's start our last panel of the day. This is the foreign bank panel. And once again, I won't go through all the bios. You have them already. But we have Satish Kini from Debevoise & Plimpton doing double duty today, back on our panel, Sally Miller, CEO of the Institute of International Bankers, who has really been at the forefront of a lot of the industry advocacy on foreign bank issues, and Joerg Riegel from Societe ...

Pension Plan Investments 2017: Current Perspectives -- Other Current Plan-Related Issues for Financial Institutions

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From the program: Pension Plan Investments 2017: Current Perspectives

Recorded on: May. 17, 2017

Taken from the Web Program Pension Plan Investments 2017: Current Perspectives recorded May, 2017 in New York. Other Current Plan-Related Issues for Financial Institutions [01:03:29] Netting of derivatives contracts Issues under the Indicia of Ownership Rule Discount banking and brokerage services for IRA customers Erin K. Cho, James S. Frazier, Christina Y. Lee, Alan S. Wilmit The purchase price of this segment includes ...

Other Current Plan-Related Issues for Financial Institutions

Transcripts  Transcripts    

Recorded on: May. 17, 2017

ARTHUR KOHN: OK, great. Welcome back, everybody. I'll be very quick by way of introduction. We started out the day with two panels talking about very broad topics, and now we have a real-- large amount of territory to cover on some other issues. These are other important issues that are affecting financial institutions. And to speak to them we have a great-- another great panel. Erin Cho, who practices at the Groom Law Group to my immediate left. ...

Negotiating Real Estate Deals 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Negotiating Real Estate Deals 2017

Released on: Jun. 26, 2017

The 2016 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.  2017 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 ...

FinTech 2017

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From the program: FinTech 2017

Released on: Aug. 23, 2017

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.  ...

Think Like a Lawyer and Talk Like a Geek 2017: Get Fluent in Technology -- The Future of FinTech

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From the program: Think Like a Lawyer and Talk Like a Geek 2017: Get Fluent in Technology

Recorded on: Sep. 15, 2017

Taken from the Web Program Think Like a Lawyer, Talk Like a Geek 2017: Get Fluent in Technology recorded September 2017 in New York. The Future of FinTech [01:02:19] Evolution beyond cash; alternate payment systems Legal and regulatory framework Industry trends and issues for new entrants Go big or go home? Landscape of current and future players Speakers: Lori E. Lesser (panel leader), Maria Gotsch, Shaheen Kanda, Yvette ...

The Future of FinTech

Transcripts  Transcripts    

Recorded on: Sep. 15, 2017

LORI LESSER: All right, so we have a terrific panel for the future of fintech. And I'll introduce my panelists. First to my immediate left is Maria Gotsch who is the president and the CEO of the Partnership Fund for New York City, which I hope all of you learn more about. It's the investment arm of New York's Partnership for New York City, which is more or less our chamber of commerce. And it's dedicated to creating Silicon Alley and job growth in ...

Financial Services Industry Regulatory Compliance Forum 2017

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From the program: Financial Services Industry Regulatory Compliance Forum 2017

Released on: Nov. 15, 2017

In addition to the credits listed , this program also offers credit for ABA professional certification. Financial Services Industry Regulatory Compliance Forum 2017 has been approved for 8.25 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor. Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which ...

The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

CLIFFORD KIRSCH: Welcome back. And welcome to our next panel. With the emergence of data analytics and its application to regulation, I wanted to add to the program a panel looking at data analytics from a regulatory perspective. And I'm very, very pleased to introduce Scott Bauguess and Carlo di Florio and Scott Kirwin. Scott Bauguess is the Deputy Chief Economist at the SEC and Deputy Director of the SEC's DERA office, which is the Division of ...


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