Cannabis & Compliance: How Compliance Officers, Clients, and Legal Professionals Navigate a Complicated Legal Environment

Thursday, September 19, 2019 | 6:00 p.m. – 8:00 p.m.

Program Chair:
Brandon Smith
Director, Financial Crime Prevention

  • This program will focus on the legal history of cannabis and how compliance programs related to financial services address the complicated differences between federal and state law on cannabis. An expert panel will address the issue from different perspectives, including the client, compliance officer, and of firms investing in legal cannabis businesses.

    The key items you will learn include:

    • The legal history of cannabis
    • The challenges for cannabis firms complying with state and federal laws
    • How banks maintain relationships with cannabis businesses
    • How to legally invest in cannabis businesses

    Live Program:
    $149 for Members | $249 for Nonmembers
    In-House Counsel: Free for Members | $199 for Nonmembers
    Members who are Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2017-2019), Judges (and their staff who are also members), or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.

  • David Feldman  
    Team Lead, Cannabis Industry Group
    Duane Morris LLP
    James Rieger
    Tannenbaum Helpern Syracuse & Hirschtritt LLP
    Lauren Rudick  
    Cannabis Practice Group Co-Founder
    Hiller, PC
    John Wagner
    Managing Director, Deloitte Advisory
    Anti-Money Laundering and Sanctions Consulting
    Brian Walsh
    CCO and Director
    Pershing Securities Canada Limited

  • 6:00 p.m. – 6:05 p.m. Introduction of Speakers
    6:05 p.m. – 6:25 p.m. History of Cannabis Legalization & Compliance Programs
    6:25 p.m. – 6:50 p.m. Client Experience — Challenges Cannabis Businesses Face w/ Compliance to State & Federal Law
    6:50 p.m. – 7:15 p.m. Compliance Officer/Regulatory Perspective — Challenges Faced by Compliance Programs with Customer Relationships Involving Legal Compliance Businesses
    7:15 p.m. – 7:35 p.m. Investment Perspective — Challenges Faced by Firms Investing in Cannabis Businesses
    7:35 p.m. – 7:45 p.m. Way Forward — How Legal Challenges for Compliance Programs & Cannabis Businesses Will Evolve in the Future
    7:45 p.m. – 8:00 p.m. Questions & Answers

  • CLE Credit
    New York:
    2.0 Professional Practice
    New Jersey:
    2.0 General
    2.0 General
    1.5 General

  • Sponsoring Association Committees:
    Compliance | Patrick T. Campbell, Chair
    Drugs and the Law | Luke A. Schram, Chair

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