Bank Regulatory: Basics and Beyond

Originally held on Friday, April 23, 2021 | 9:00 am – 1:00 pm

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Program Chair:
Adele Hogan
Lucosky Brookman LLP

  • 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 Nonmembers

    Members who are 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.

  • James P. Bergin
    Deputy General Counsel & Senior Vice President
    Federal Reserve Bank of New York

    Edina Cavalli
    Vice President
    Negative Rates & Benchmark Rate Reform
    TD Bank

    Richard Charlton
    Federal Reserve Bank of New York

    Brian Doran
    Executive Vice President, General Counsel
    Investors Bancorp and
    Chief Administrative Officer, Investors Bank

    Matthew Homer
    Executive Deputy Superintendent
    Research & Innovation Division
    New York State Department of Financial Services

    Adam Hopkins
    Managing Director
    Mizuhocap

    Yosef Ibrahimi
    Director, General Counsel Department
    Credit Suisse

    Aaron Iovine
    Head of Policy and Regulatory Affairs
    Cross River Bank

    Gregory J. Lyons
    Debevoise & Plimpton LLP

    Matthew F. Musselman
    Executive Director and Assistant General Counsel
    JPMorgan Chase & Co.

    Anna Novoseletsky
    Head of Global Payments Legal
    Discover Financial Services

    Stephen M. Salley
    Sullivan & Cromwell LLP

    Reena Agrawal Sahni
    Shearman & Sterling LLP

    Susan Steinthal
    EVP & Deputy General Counsel
    Head of Consumer Legal
    Citizens Financial Group

    Christina Vougarelis
    Senior Attorney
    Federal Deposit Insurance Company

    Mark Zingale
    Head of Regulatory Resolution
    Wells Fargo

  • 9:00 am – 9:10 am
    Introduction
    Adele Hogan

    9:10 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
    Break

    10:05 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
    Break

    11:00 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
    Break

    12:00 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

  • 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: 3.5 Total: 2.5 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, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Angie Avila, Manager, Membership Outreach and Sponsorships | (212) 382-6608 | aavila@nycbar.org

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