Regulation of Financial Institutions: Hot Topics and Key Challenges

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
Skylight Compliance

  • 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.


  • Adam Felsenthal
    Vice President, Legal and Compliance
    Irving Place Capital Management LP
    Amy R. Foote
    Jessica Hopper
    Senior Vice President & Deputy Head of Enforcement
    Financial Industry Regulatory Authority
    Joseph Lynyak
    Dorsey & Whitney LLP
    Andrew McAdams
    Deputy Head of Financial Crimes
    Agricultural Bank of China, New York Branch
    Michael McMaster
    CCO – Broker Dealer Services and Capital Markets
    BNY Mellon
    Adjunct Professor
    New York Law School
    Marjorie J. Peerce
    Ballard Spahr
    Victoria Richter
    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


  • CLE Credit
    New York:
    3.0 Professional Practice
    New Jersey:
     3.0 General
    3.0 General
     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 |