Friday, April 23, 2021 | 9:00 am – 1:00 pm
Program Chair:
Adele Hogan
Lucosky Brookman LLP
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Everyone needs an overview of how the bank regulatory framework works, where the areas of regulatory change are occurring and how financial institutions are handling them. With current coronavirus market and health events, lawyers and other professionals need to be able to answer regulatory questions to support changing business objectives and regulatory rules. You will learn about these changes from professionals at the NY Fed, FDIC and NYS DFS and other experts in the field.
This basic course will cover the three lines of defense for regulatory matters: business units, compliance/legal and audit. Subject matter experts will provide an overview of the Cares Act and Federal and Small Business Association lending programs and grants, LIBOR transition market update, bank merger trends, Volcker Rule, capital requirements, liquidity, Resolution Plans, Current Expected Credit Loss, Anti-Money Laundering, Know Your Customer, Sanctions, Office of Foreign Asset Control, Foreign Corrupt Practices Act, Committee on Foreign Interests in the US, data privacy rules and other important bank regulations. An expert panel will cover:
- Bank Regulatory Update on Governance, Risk and Compliance
- Bank Regulatory and Risk Frameworks
- Key Compliance Areas and Trends
- Roles of Business Units – Legal, Compliance, Risk and Audit
- Ethics Related to Selected Bank Regulations and Coronavirus Developments
Who Should Attend: Lawyers who practice in risk, regulatory, finance, securities, lending, M&A, litigation, anti-financial crimes governance, compliance, boards of directors and regulatory areas need to expand their skills and be more valuable to their clients by covering the why, what, when, where and how of bank regulations.
Program Fee:
$229 for Members | $329 for NonmembersMembers who are Law Students, Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2019-2021), In-House/Corporate Counsel, Judges, and attorney members who practice within the Government, Academic or Not-for-Profit sectors attend this program for free.
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James P. Bergin
Deputy General Counsel & Senior Vice President
Federal Reserve Bank of New YorkEdina Cavalli
Vice President
Negative Rates & Benchmark Rate Reform
TD BankRichard Charlton
Federal Reserve Bank of New YorkBrian Doran
Executive Vice President, General Counsel
Investors Bancorp and
Chief Administrative Officer, Investors BankMatthew Homer
Executive Deputy Superintendent
Research & Innovation Division
New York State Department of Financial ServicesAdam Hopkins
Managing Director
MizuhocapYosef Ibrahimi
Director, General Counsel Department
Credit SuisseAaron Iovine
Head of Policy and Regulatory Affairs
Cross River BankGregory J. Lyons
Debevoise & Plimpton LLPMatthew F. Musselman
Executive Director and Assistant General Counsel
JPMorgan Chase & Co.Anna Novoseletsky
Head of Global Payments Legal
Discover Financial ServicesStephen M. Salley
Sullivan & Cromwell LLPReena Agrawal Sahni
Shearman & Sterling LLPSusan Steinthal
EVP & Deputy General Counsel
Head of Consumer Legal
Citizens Financial GroupChristina Vougarelis
Senior Attorney
Federal Deposit Insurance CompanyMark Zingale
Head of Regulatory Resolution
Wells Fargo -
9:00 am – 9:10 am
Introduction
Adele Hogan9:10 am – 10:00 am
Bank Regulatory Basic Regulatory Framework- Bank regulatory framework – regulators and their roles
- Bank merger activity and regulatory restrictions
- Update on Dodd Frank, Volcker Rule, Resolution Plans (“Living Wills”)
- Capital and liquidity requirements
- Current outlook on LIBOR substitutions and other pending matters
Richard Charlton, Adam Hopkins, Matthew Musselman, Stephen Salley, Christina Voulgaris
10:00 am – 10:05 am
Break10:05 am – 10:55 am
Key Regulatory and Risk Management Areas and Trends- FinTech – Developments
- RegTech and Legal Tech
- Triple lines of defense and functions: roles of business units, risk, compliance, legal and audit
- Anti-Financial Crimes
- Derivatives
- Technology Management
- Risk
James Bergin, Brian Doran, Anna Novoseletsky, Reena Agrawal Sahni, Mark Zingale
10:55 am – 11:00 am
Break11:00 am – 11:55 pm
FinTech, Blockchain and M&A Trends at Banks- M&A Update and Trends
- FinTech
- Blockchain
Matt Homer, Yosef Ibrahimi, Aaron Iovine, Greg J. Lyons
11:55 am – 12:00 am
Break12:00 pm – 1:00 pm
Ethics Related to Selected Bank Regulatory Matters- Monitors at Financial Institutions – ethics related to confidentiality
- Data and Privacy Developments – ethics related to confidentiality
- Structured Products – ethics related to competence
- Investment Management Developments – ethics rules related to competence
- Current market developments – ethics related to due diligence, organization is client and confidentiality
Edina Cavalli, Adele Hogan, Susan Steinthal
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New York: 4.0 Total: 3.0 Professional Practice, 1.0 Ethics
New Jersey: 4.4 Total: 3.2 General, 1.2 Professional Responsibility
California: 4.0 Total: 3.0 General, 1.0 Professional Responsibility
Pennsylvania: 3.5 Total: 2.5 General, 1.0 Professional Responsibility
Connecticut: Available to Licensed Attorneys -
Sponsoring Association Committee:
Banking Law, Gregory J. Lyons, ChairSponsorship Opportunities are Available! Please Contact:
Angie Avila, Manager, Membership Outreach and Sponsorships | (212) 382-6608 | aavila@nycbar.org