(Webcast) Biden Administration Regulatory Update: What Legal and Compliance Need To Know

Thursday, February 25, 2021 | 9:00 am – 11:00 am

• Description
• Faculty
• Agenda
• CLE Credit
• Sponsors

• This program will educate chief compliance officers (CCOs) and other compliance professionals on recent developments in the law. The first panel will inform (CCOs) about recent developments in the law regarding CCOs being held personally liable for compliance deficiencies – an area of key concern to CCOs. The panel will address what the standard for CCO liability is, and also recent SEC speeches and enforcement actions in this important area. The second panel will cover what regulatory changes are likely to arise under the new Biden Administration that could impact CCOs and what CCOs should be doing now to prepare for these changes.

  Program Fee:
  $149 for Members | $249 for Nonmembers

  Members who are Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2019-2021), In-House/Corporate Counsel, Judges, or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.

• Moderators:

  Scott Gluck
  Partner
  Duane Morris LLP

  Marc Tobak
  Counsel
  Davis Polk & Wardwell

  Faculty:

  Adam Aderton
  Co-Chief, Division of Enforcement Asset Management Unit
  US Securities and Exchange Commission

  Gail C. Bernstein
  General Counsel
  Investment Advisor Association

  Robert A. Cohen
  Partner
  Davis Polk & Wardwell LLP

  Rory M. Cohen
  General Counsel
  Varadero Capital, LP

  Shirley U. Emehelu
  Partner
  Chiesa Shahinian & Giantomasi PC

  Adam Felsenthal
  General Counsel
  Deputy Chief Compliance Officer
  Great Point Partners LLC

  Alpa Patel
  Partner
  Kirkland & Ellis LLP

   

• 9:00 am – 9:50 am
  Update on CCO Liability

  • Review of Legal Standard for CCO Liability
  • Discussion of the NYCBACC 2020 Report on CCO Liability and Recommendations
  • Update on recent SEC speeches and enforcement actions
  • Working towards a better framework for CCO liability/Q&A

  Panelists:  Adam Aderton, Rory Cohen, Shirley Emehelu, Adam Felsenthal
  Moderator: Marc Tobak

  9:50 am to 10:00 am
  Break

  10:00 am to 10:50 am
  Enforcement/Regulation Under the Biden Administration: What CCO’s Need to Know

  • Overview and priorities of the new administration
  • SEC enforcement under the new administration
  • Fiduciary duty/Reg BI/Conflicts/Fees
  • Cybersecurity

  Panelists:  Gail Bernstein, Robert Cohen, Alpa Patel
  Moderator: Scott Gluck

• New York: 2.0 Professional Practice
  New Jersey: 2.0 General
  California: 2.0 General
  Pennsylvania: 1.5 General
  Connecticut: Available to Licensed Attorneys

• Sponsoring Association Committee:
  Compliance, Patrick T. Campbell, Chair

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