Friday, June 14, 2019 | 9:00 a.m. – 12:00 p.m.
| Program Co-Chairs: | ||
|---|---|---|
| Lanier Saperstein Dorsey & Whitney LLP Adjunct Professor Fordham University School of Law |
Al Troncoso General Counsel Mirae Asset Securities (USA) Inc. |
A.J. Bosco Principal Skylight Compliance |
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Complex financial institutions operate in a challenging legal environment marked by pervasive regulation, overlapping state and federal oversight, and ever-changing supervisory expectations.
This program will address some of the current hot topics affecting complex financial institutions, and will explore the emerging challenges and considerations associated with maintaining a compliance and legal function in the face of these challenges.
In-house/outside counsel and attorneys serving in compliance and legal roles will address the following topics:
- Compliance officers in the crosshairs: pros, cons and managing the new reality.
- Enforcing OFAC sanctions: A view from the trenches
- The risks of de-risking: causes, consequences and protecting communities
Live Program & Webcast: $199 for Members | $299 for Nonmembers
In-House Counsel: Free for Members | $249 for NonmembersMembers who are Recent Law Graduates, Newly Admitted Lawyers (earliest admission 2017-2019 in any state or country), 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.
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Adam Felsenthal
Vice President, Legal and Compliance
Irving Place Capital Management LPAmy R. Foote
StoneTurnJessica Hopper
Senior Vice President & Deputy Head of Enforcement
Financial Industry Regulatory AuthorityJoseph Lynyak
Dorsey & Whitney LLPAndrew McAdams
Deputy Head of Financial Crimes
Agricultural Bank of China, New York BranchMichael McMaster
CCO – Broker Dealer Services and Capital Markets
BNY Mellon
Adjunct Professor
New York Law SchoolMarjorie J. Peerce
Ballard SpahrVictoria Richter
Director, Associate General Counsel
Deutsche Bank Legal DepartmentBrandon C. Smith
Acting Americas Regional Head of Sanction
UBSJames H.R. Windels
Davis Polk & Wardwell LLP -
9:00 am – 9:50 am Whistle Blowers and Other Employment Issues: Things You Should Do and Not Do
- Investigating Whistle-Blower Complaints;
- Me too/sexual harassment; and
- Rolling bad apples.
A.J. Bosco, Amy R. Foote, Marjorie J. Peerce, Victoria Richter
9:50 am – 10:00 am Break 10:00 am – 10:50am Compliance Officers: What Can You Do To Protect Yourself? Adam Felsenthal, Jessica Hopper, Michael McMaster, James H.R. Windels
10:50 am – 11:00 am Break 11:00 am – 11:50 am Sanctions: A View From The Trenches - UniCredit and Other Enforcement Actions;
- Recent Sanction Developments; and
- The Tension Between Foreign Head Offices and US Branches
Joseph Lynyak, Andrew McAdams, Lanier Saperstein, Brandon Smith, Al Troncoso
11:50 am – 12:00 pm Q&A Discussion -
CLE Credit
New York: 3.0 Professional Practice
New Jersey: 3.0 General
California: 3.0 General
Pennsylvania: 2.5 General -
Sponsoring Association Committees:
Compliance | Michael McMaster, Chair
Labor & Employment Law | Katherine A. Greenberg, ChairSponsorship Opportunities are Available! Please Contact:
Angie Avila, Membership Outreach and Sponsorships Manager | (212) 382-6608 | aavila@nycbar.org______________________________________________________________