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.
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.
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
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