Bank Regulatory:
Basics and Beyond

Friday, March 16, 2018 | 9:00 am – 1:00 pm

Register For the Live Program
Register for the Live Webcast

Program Chair:

N. Adele Hogan
Former Director,
Deutsche Bank AG

 

  • 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, 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”), data privacy rules and other important bank regulations. Bank regulatory rules for initial coin offerings and block chain 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.

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

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  • Meghann Donahue
    Vice President & Associate General Counsel
    Federal Reserve Bank of New York    		 John L. Douglas
    Davis Polk & Wardwell LLP
    Joshua Ashley Klayman
    Morrison & Foerster LLP    		 Gregory J. Lyons
    Debevoise & Plimpton LLP
    Gregory A. Markel
    Seyfarth Shaw LLP    		 Jennifer S. Myers
    Director
    Forensic, Litigation & Valuation Services
    Baker Tilly Virchow Krause, LLP
    Reena Agrawal Sahni
    Shearman & Sterling LLP    		 Stephen M. Salley
    Sullivan & Cromwell LLP
    Ken Walker
    Managing Partner
    Exeter Consulting & Capital Management    		 Emily Yang
    Assistant Vice President
    Financial Institutions Supervision Group
    Federal Reserve Bank of New York
    Mark Zingale
    Head of Regulatory Resolution
    Wells Fargo

     

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  • 9:00 – 10:00 a.m. Bank Regulatory Basic Regulatory Framework

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

    John L. Douglas, Stephen M. Salley, Mark Zingale
    10:00 – 10:45 a.m. Key Compliance Areas 

    • FinTech, Bitcoin and Blockchain developments
    • Anti-Money Laundering (“AML”)
    • Office of Foreign Asset Control (“OFAC”), sanctions and embargos
    • Foreign Corrupt Practices Act and three lines of defense (“FCPA”)

    Meghann Donahue, Joshua Ashley Klayman, Reena Agrawal Sahni
    10:45 – 11:00 a.m. Coffee Break
    11:00 – 12:00 p.m. Roles of Business Units, Legal, Compliance and Audit

    • Financial requirements and how they impact financings and deals
      • Capital and Basel requirements and risk evaluation measures
      • DFAST
      • CCAR
      • Capital requirements and risk evaluation measures
    • Model validation
    • Internal investigations, white collar issues and class actions

    Greg J. Lyons, Ken Walker, Emily Yang
    12:00 – 1:00 p.m. Ethics Related to Selected Bank Regulations

    • Monitors at Financial Institutions – ethics related to confidentiality
    • Data and Privacy Developments – ethics related to confidentiality
    • Structured Products – ethical rules related to competence
    • Volcker Rule – ethical rules related to diligence
    • Investment Management Developments – ethical rules related to competence
    • CCAR, Resolution Planning, Legal Entities, Liquidity – ethics related to advice

    Adele Hogan, Gregory A. Markel, Jennifer S. Myers

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  • CLE Credit
    NY: 4.5 total: 3.5 professional practice & 1.0 ethics
    CA: 4.5 total: 3.5 general & 1.0 professional responsibility
    NJ: 4.5 total: 3.3 general & 1.2 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 | Trevor Saul Norwitz, 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

    ______________________________________________________________

    Register for the Live Program
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