Bank Regulatory: Basics & Beyond

Friday, March 3, 2017 | 9:00 am – 1:00 pm

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Program Co-Chairs:

N. Adele Hogan

N. Adele Hogan
Director
Deutsche Bank

orme

Camille Orme
Sullivan & Cromwell LLP

  • 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 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, Basel II and III), 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”) and other important bank regulations.  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.

    Live Program/Webcast: $239 Member | $339 Nonmember
    In-House Counsel: $169 Member | $269 Nonmember

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  • Meghann Donahue
    Counsel and Assistant Vice President
    Federal Reserve Bank of New York

    Katherine Tilghman Hill 
    Vice President, Supervisory Policy and Strategy
    Supervision Group
    Federal Reserve Bank of New York

    Andrea Lowenthal
    Head of Legal, ANZ America | International & Institutional Legal Group
    Australia and New Zealand Banking Group Limited

    Gregory J. Lyons, Esq.
    Debevoise & Plimpton LLP

    James Odell
    Blank Rome LLP

    Christopher M. Paridon
    Davis Polk & Wardwell LLP

    Bruce G. Paulsen
    Seward & Kissel LLP

    Reena Agrawal Sahni
    Shearman & Sterling LLP

    Andrew Siegel
    Perella Weinberg Partners

    Ken Walker
    NewOak Capital

    Mark Zingale
    Head of Regulatory Resolution
    Wells Fargo

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  • 9:00 am – 10:00 am Bank Regulatory Basics Regulatory Framework

    • Triple lines of defense and functions: business units, compliance and audit
    • Volcker Rule
    • Dodd Frank
    • Capital requirements
    • Resolution Plans (“Living Wills”)
    • Regulators and their roles

    Reena Agrawal Sahni, Camille L. Orme, Chris Paridon, Mark Zingale
    10:00 am – 10:45 am Key Compliance Areas

    • Anti- Money Laundering (“AML”)
    • Know Your Customer (“KYC”)
    • Sanctions
    • Office of Foreign Asset Control (“OFAC”)
    • Foreign Corrupt Practices Act and three lines of defense (“FCPA”)
    • Committee on Foreign Investment in the US (“CFIUS”)

    Mark Egert, Andrew Siegel, Erik Walsh
    10:45 am – 11:00 am Break
    11:00 am – 12:00 pm Roles of Business Units, Legal, Compliance and Audit

    • Financial requirements and how they impact financings and deals
      • Capital requirements and risk evaluation measures
      • Basel II and III
      • DFAST
      • CCAR
      • Capital requirements and risk evaluation measures
    • Selected best practices on how legal, compliance and audit work to protect an organization
    • Internal investigations, white collar issues and class actions

    Greg J. Lyons, Katherine Tilghman Hill, Ken Walker
    12:00 pm – 1:00 pm Ethics Related to Selected Bank Regulations

    • “Ring fencing” of assets and liabilities and “Good Bank/Bad Bank” issues – Ethical rules related to the organization as the client
    • Dodd-Frank requirements – ethical rules related to competence
    • Volcker Rule – ethical rules related to diligence
    • Investment Company Act – ethical rules related to competence
    • New ERISA proposals related to Investment Advisors and 401K plans – ethical rules related to diligence
    • Resolutions plans – unwinding banks – ethical rules related to diligence
    • Electronic signatures – ethical rules related to competence, diligence, fraud and duties to disclose
    • Dealing with multiple bank regulators – ethical rules related to candor and confidentiality

    Adele Hogan, Andrea Lowenthal, Jim Odell

     

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  • NY: 4.0 total: 3.0 professional practice, 1.0 ethics
    NJ: 4.5 total: 3.3 general, 1.2 professional responsibility
    CA: 4.0 total: 3.0 general, 1.0 professional responsibility
    PA: 3.5 total: 2.5 general, 1.0 professional responsibility

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  • Sponsoring Association Committees:
    Banking Law| Mark Zingale, Chair
    Financial Reporting | David S. Huntington, Chair
    Futures & Derivatives Regulation | Robert M. McLaughlin, Chair
    Mergers, Acquisitions & Corporate Control | Alexandra D. Korry, Chair
    Securities Regulation | Mark Rossell, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Maricela Alfonso, Membership and CLE Relations Associate | (212) 382-6608 | MAlfonso@nycbar.org
    ____________________________________________________________________________________________

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