Bank Regulatory: Basics & Beyond

Friday, March 15, 2019 | 9:00 a.m. – 1:00 p.m.


Program Chair:

Adele Hogan
Former Director
Forensic, Litigation & Valuation Services
Baker Tilly Virchow Krause, 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 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), 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. Bank trends in legal tech solutions for derivatives and legal contracts. Bank regulatory rules for initial coin offerings, blockchain and smart contracts 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 for Members | $339 for Nonmembers
    In-House Counsel: Free for Members | $289 for Nonmembers

    Members who are Recent Law Graduates, Newly Admitted Lawyers, In-House/Corporate Counsel, Judges (and their staff), or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.


  • TBD


  • TBD


  • CLE Credit
    New York:
    4.0 Total: 3.0 Professional Practice, 1,0 Ethics
    New Jersey:


  • 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, Chair

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