Friday, June 14, 2019 | 9:00 a.m. – 12:00 p.m.
Dorsey & Whitney LLP
Fordham University School of Law
Mirae Asset Securities (USA) Inc.
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 Nonmembers
Members 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.
Vice President, Legal and Compliance
Irving Place Capital Management LP
Amy R. Foote
Senior Vice President & Deputy Head of Enforcement
Financial Industry Regulatory Authority
Dorsey & Whitney LLP
Deputy Head of Financial Crimes
Agricultural Bank of China, New York Branch
CCO – Broker Dealer Services and Capital Markets
New York Law School
Marjorie J. Peerce
Director, Associate General Counsel
Deutsche Bank Legal Department
Brandon C. Smith
Acting Americas Regional Head of Sanction
James 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
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, Chair
Sponsorship Opportunities are Available! Please Contact:
Angie Avila, Membership Outreach and Sponsorships Manager | (212) 382-6608 | firstname.lastname@example.org