Bank Regulatory: Basics and Beyond (OnDemand)
Originally held on Friday, March 15, 2019 | 9:00 a.m. – 1:00 p.m.
Program Fee:
Live Webcast: $239 for Members | $339 for Nonmembers
Members who are Recent Law Graduates (not yet admitted), Newly Admitted Lawyers, In-House/Corporate Counsel, Judges (and their staff), or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.
CLE Credit:
New York: 4.0 Total: 3.0 Professional Practice, 1.0 Ethics
New Jersey: 4.3 Total: 3.1 General, 1.2 Professional Responsibility
California: 3.5 Total: 2.5 General, 1.0 Professional Responsibility
Pennsylvania: 3.5 Total: 2.5 General, 1.0 Professional Responsibility
Please Note: Newly admitted NY attorneys cannot fulfill ethics or skills credits through our on-demand programs under OCA rules. For more information on this, please see http://www.nycourts.gov/attorneys/cle/changes_for_2016.shtml.
Description
This course will enable both in-house and outside counsel to expand
their skills and be more valuable to their clients by covering the why,
what, when, where and how of bank regulations. The bank regulatory
environment has completely changed in the last few years and further
changes are coming. You will learn about these changes from experts in
the field. Lawyers who practice in finance, securities, lending,
M&A, litigation, anti-financial crimes and regulatory areas need to
increase their knowledge of this area to effectively advise clients.
This basic course will cover the three lines of defense for regulatory
matters – business units, compliance/legal and audit. It will cover the
Volcker Rule, capital requirements (CCAR, DFAST), liquidity (Basel IV),
Resolution Plans (“Living Wills”), Anti-Money Laundering (“AML”), Know
Your Customer (“KYC”), Sanctions, Office of Foreign Asset Control
(“OFAC”), Foreign Corrupt Practices Act (“FCPA”), Committee on Foreign
Interests in the US (“CFIUS”), data privacy rules and other important
bank regulations. Bank trends in legal tech solutions for derivatives
and legal contracts. Bank regulatory rules for initial coin offerings,
blockchain and smart contracts will also be covered. There will be one
ethics credit relating to compliance with bank regulations and how to
structure deals and lending arrangements within the parameters of some
of these new regulations.
Click Here to View Program Agenda & Faculty
Program Chair:
Adele Hogan, Former Director, Forensic, Litigation & Valuation Services, Baker Tilly Virchow Krause, LLP
Sponsoring Association Committees:
Banking Law, Gregory J. Lyons, Chair
Mergers, Acquisitions & Corporate Control Contests, Trevor S. Norwitz, Chair
Private Investment Funds, Rebecca F. Silberstein, Chair
Securities Regulation, David S. Huntington, Chair