Regulation of Financial Institutions: Translating Law into Compliance

Originally held on Thursday, January 25, 2018 | 9 am – 12 pm

Purchase OnDemand
Print Registration Form

 

 

Program Co-Chair
Celeste Mitchell Byars
Chief Compliance Officer and EVP
Mitsubishi UFJ Trust and Banking Corporation

Program Co-Chair
Barbara R. Mendelson
Morrison & Foerster LLP

 

 

 

 

 

 

 

  • 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 provide an overview of some of the principal legal requirements affecting complex financial institutions, and will explore the practical challenges and considerations associated with building and maintaining a compliance program to implement those regimes.

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

    • The Roles of Legal and Compliance
    • Key Federal Banking Laws: Bank Holding Company Act, International Banking Act, and The National Bank Act
    • Anti-Money Laundering and Sanctions Compliance
    • Data Security and Cybersecurity Requirements (including Vendor Management)
    • Volcker Rule Compliance
    • Regulation of Over-the-Counter Swaps Markets

    Live Program: $149 Member | $249 Nonmember

    Purchase OnDemand
    Print Registration Form

  • Manavinder Bains
    Managing ‎Director and Chief Compliance Officer of BNY Mellon Swap Dealer
    BNY Mellon

    Joseph R. Bielawa
    Director, Senior Counsel
    Natixis North America LLC

    Chan Casey
    Senior Vice President and Assistant General Counsel
    Citigroup, Inc.

    Brian DiPietro
    Managing Director
    Chief Information Security Officer
    Enterprise Information Security
    MUFG Union Bank, N.A.

    Douglas Donahue
    Linklaters LLP

    Jillian Eng
    Executive Director and Assistant General Counsel
    JPMorgan Chase

    Jiang Liu
    Morrison & Foerster

    Jai R. Massari
    Davis Polk & Wardwell LLP

    John W. Moscow
    BakerHostetler

    Irwin Nack
    Managing Director
    Deputy Head of AFC Americas
    Deutsche Bank

    Alexander F.L. Sand
    Eversheds Sutherland (US) LLP

    Douglas K. Yatter
    Latham & Watkins LLP

    Purchase OnDemand
    Print Registration Form

  • 9:00 am – 9:05 am Introduction
    Celeste Mitchell Byars, Barbara R. Mendelson
    9:05 am – 9:30 am The Roles of Legal and Compliance
    Moderator: Celeste Mitchell Byars
    Speakers: Chan Casey, Douglas K. Yatter
    9:30 am – 9:55 am Key Federal Banking Laws: Bank Holding Company Act, International Banking Act, The National Bank Act
    Joseph R. Bielawa, Jiang Liu
    9:55 am – 10:20 am Anti-Money Laundering and Sanctions Compliance
    John W. Moscow, Irwin Nack
    10:20 am – 10:30 am Coffee Break
    10:30 am – 10:55 am Data Security and Cybersecurity Requirements (Including Vendor Management)
    Brian DiPietro, Alexander F.L. Sand
    10:55 am – 11:20 am Regulation of Over-the-Counter Swaps Markets
    Manavinder Bains, Douglas Donahue
    11:20 am – 11:45 am Volcker Rule Compliance
    Jillian Eng, Jai R. Massari
    11:45 am – 12:00 pm Q&A

    Purchase OnDemand
    Print Registration Form

  • NY: 3.0 professional practice
    NJ: 3.0 general
    CA: 2.5 general
    PA: 2.5 general

    Purchase OnDemand
    Print Registration Form

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