Originally held on Friday, March 20, 2020 | 9:00 am – 1:00 pm
Adele Hogan
Nelson Mullins Riley & Scarborough 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. 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. It will cover the new control rules, Volcker Rule, capital requirements (CCAR, DFAST), liquidity (Basel IV), 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.
An expert panel will cover:
- Bank Regulatory Basic Regulatory Framework
- Key Compliance Areas and Trends
- Roles of Business Units, Legal, Compliance and Audit
- Ethics Related to Selected Bank Regulations and Coronavirus Development
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: $129 for Members | $229 for Nonmembers
Small Law Firm: $59 for MembersMembers who are Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2018-2020), In-House/Corporate Counsel, Judges, or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.
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Matthew Homer
Executive Deputy Superintendent, Research & Innovation Division
New York State Department of Financial ServicesAdam Hopkins
Managing Director
MizuhocapYosef Ibrahimi
Director, General Counsel Department
Credit SuisseAndrea Lowenthal
Head of Legal | Institutional & International Banking
ANZ America
Australia and New Zealand Banking Group LimitedGregory J. Lyons
Debevoise & Plimpton LLPJeffrey Medeiros
Former Senior Vice President, General Counsel and Corporate Secretary
USAA BankMatthew F. Musselman
Executive Director and Assistant General Counsel
JPMorgan Chase & Co.Stephen M. Salley
Sullivan & Cromwell LLPReena Agrawal Sahni
Shearman & Sterling LLPKathryn E. Schneider
Vice President & Deputy General Counsel
Medidata SolutionsSusan Steinthal
EVP & Deputy General Counsel
Citizens BankChristina Voulgarelis
Senior Attorney
Federal Deposit Insurance Company -
9:00 am – 9:10 am
Introduction
Adele Hogan9:10 am – 10:00 am
Bank Regulatory Basic Regulatory Framework
Adam Hopkins, Matt Musselman, Stephen Salley, Christina Voulgarelis10:00 am – 11:00 am
Key Compliance Areas and Trends
Matt Homer, Jeff Medieros, Reena Agrawal Sahni11:00 am – 12:00 pm
Roles of Business Units, Legal, Compliance and Audit
Yosef Ibrahimi, Greg J. Lyons, Andrea Lowenthal12:00 pm – 1:00 pm
Ethics Related to Selected Bank Regulatory Matters
Adele Hogan, Kathryn Schneider, Susan Steinthal -
New York: 4.5 Total: 3.5 Professional Practice, 1.0 Ethics
New Jersey: 4.7 total: 3.5 General & 1.2 Professional Responsibility
California: 3.75 total: 2.75 General & 1.0 Professional Responsibility
Pennsylvania: 3.5 total: 2.5 General & 1.0 Professional Responsibility
Connecticut: Available to Licensed AttorneysPlease Note: Newly admitted NY attorneys cannot fulfill ethics or skills credits through our on-demand programs under OCA rules. For more information on this, please see http://www.nycourts.gov/attorneys/cle/changes_for_2016.shtml.
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Sponsoring Association Committees:
Banking Law, Gregory J. Lyons, Chair
Mergers, Acquisitions & Corporate Control Contests, Trevor S. Norwitz, Chair
Private Investment Funds, Rebecca F. Silberstein, Chair
Securities Regulation, David S. Huntington, ChairSponsorship Opportunities are Available! Please Contact:
Angie Avila, Manager, Membership Outreach and Sponsorships | (212) 382-6608 | aavila@nycbar.org