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Regulation of Financial Institutions

Regulation of Financial Institutions:
Hot Topics and Key Challenges
Friday, June 14, 2019 | 9:00 a.m. - 12:00 p.m.
Prefer to view the live webcast? Please CLICK HERE.

Program Fee:

Live Program: $199 for Members | $299 for Nonmembers
In-House Counsel: Free for Members | $249 for Nonmembers
Members who are Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2017-2019), Judges (and their staff who are also members), or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.

CLE Credit:
New York: 3.0 Professional Practice
New Jersey: 3.0 General
California: 3.0 General
Pennsylvania: 2.5 General

This program provides transitional/non-transitional credit to all attorneys

Complex financial institutions operate in a challenging legal environment marked by pervasive regulation, overlapping state and federal oversight, and ever-changing supervisory expectations.

This program will address some of the current hot topics affecting complex financial institutions, and will explore the emerging challenges and considerations associated with maintaining a compliance and legal program in the face of these challenges.

In-house/outside counsel and attorneys serving in compliance and legal roles will address the following topics:

  • Compliance officers in the crosshairs: pros, cons and managing the new reality
  • Enforcing OFAC sanctions: A view from the trenches
  • The risks of de-risking: causes, consequences and protecting communities

Click Here to View Program Agenda & Faculty

Program Co-Chairs:
Lanier Saperstein, Dorsey & Whitney LLP
Al Troncoso, General Counsel, Mirae Asset Securities (USA) Inc.
A.J. Bosco, Principal, Skylight Compliance

Sponsoring Association Committees:
Compliance, Michael McMaster, Chair
Labor & Employment Law, Katherine A. Greenberg, Chair

New York City Bar 42 West 44th St New York, NY 10036

Please Sign In to Register

Friday, 14 June 2019