Bank Regulatory – Basics & Beyond

Originally held on Friday, February 26, 2016| 9:00 am – 1:00 pm

N. Adele Hogan

PROGRAM CHAIR
N. Adele Hogan
Director
Deutsche Bank

  • 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.  Lawyers who practice in finance, securities, lending, M&A, litigation 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, Basel II and III), 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”) and other important bank regulations.  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.

    DVDs & CDs: $239 Member/$339 Nonmember
    On-Demand: $189 Member/$289 Nonmember
    Materials Only (No CLE Credit): $99 Member/$129 Nonmember

    * New York residents will be charged the New York sales tax for all audio visual purchases.

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  • John L. Douglas
    Davis Polk & Wardwell LLP

    Katherine Tilghman Hill                                         
    Assistant Vice President
    Supervisory Policy
    Financial Institution Supervision Group

    Andrea Lowenthal                                                    
    Head of Legal
    ANZ America                        
    Australian and New Zealand Banking Group Limited

    Gregory J. Lyons                                                         
    Debevoise & Plimpton LLP

    James E.  Odell                                                          
    Blank Rome LLP

    Camille L. Orme                                                       
    Sullivan & Cromwell LLP

    Reena Agrawal Sahni                                              
    Shearman & Sterling LLP

    Jane Freeberg Sarma                                                      
    Reed Smith LLP

    Kenneth M. Walker                                                  
    Managing Director
    NewOak Capital LLC

    Mark Zingale                                       
    Senior Vice President and Senior Counsel
    Citizens Bank

    Erik Walsh                                                                           
    Federal Reserve Bank of New York

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  • 9:00 am – 10:00 am

    Bank Regulatory Basic Regulatory Framework

    • Regulators and their roles
    • Dodd Frank – reforms and changes to bank regulatory scheme
    • Resolution Plans (“Living Wills”)
    • Volcker Rule
    • Capital requirements
    • Triple lines of defense and functions: business units, compliance and audit

    John Douglas, Camille L. Orme, Reena Agrawal Sahni, Mark Zingale

    10:00 am – 10:45 am

    Key Compliance Areas

    • Anti- Money Laundering (“AML”)
    • Know Your Customer (“KYC”)
    • Sanctions
    • Office of Foreign Asset Control (“OFAC”)
    • Foreign Corrupt Practices Act (“FCPA”)
    • Committee on Foreign Investment in the US (“CFIUS”)

    Jane Freeberg Sarma, Erik Walsh

    10:45 am – 11:00 am

    Break         

    11:00 am – 12:00 pm

    Roles of Business Units, Legal, Compliance and Audit

    • Financial requirements and how they impact financings and deals
      • Capital requirements and risk evaluation measures
      • Basel II and III
      • DFAST
      • CCAR
      • Capital requirements and risk evaluation measures
    • Selected Best Practices on How Legal, Compliance and Audit work to Protect an Organization
    • Internal Investigations, white collar issues and class actions

    Katherine Tilghman Hill, Gregory J. Lyons, Kenneth M. Walker

    12:00 pm – 1:00 pm

    Ethics Related to Selected Bank Regulations

    • “Ring fencing” of assets and liabilities and “Good Bank/Bad Bank” issues – Ethical rules related to the organization as the client
    • Dodd-Frank requirements – Ethical rules related to competence
    • Volcker Rule – Ethical rules related to diligence
    • Investment Company Act – Ethical rules related to competence
    • New ERISA proposals related to Investment Advisors and 401K plans – Ethical rules related to diligence
    • Resolutions plans – unwinding banks – Ethical rules related to diligence
    • Electronic signatures – Ethical rules related to competence, diligence, fraud and duties to disclose
    • Dealing with Multiple Bank Regulators – Ethical rules related to candor and confidentiality

     N. Adele Hogan, Andrea Lowenthal, James E. Odell

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  • This program provides 4.0 credits total: 3.0 in professional practice & 1.0 in ethics for the New York & New Jersey MCLE requirements. California & Pennsylvania credit differs as it is based on a 60-minute credit hour. The live program provided transitional credit to newly admitted attorneys; the recording does not provide transitional credit.

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  • Click Here to View our Products Catalog for CDs, DVDs, and Materials

    Click Here to View our Catalog for On-Demand Programs

    * New York residents will be charged the New York sales tax for all audio visual purchases.

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    Purchase CD
    Purchase Materials
    Purchase On-Demand
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  • Sponsoring Association Committees:
    Banking Law| Mark Zingale, Chair
    Financial Reporting | David S. Huntington, Chair
    Futures & Derivatives Regulation | Robert M. McLaughlin, Chair
    Mergers, Acquisitions & Corporate Control | Alexandra D. Korry, Chair
    Securities Regulation | Mark Rossell, Chair

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