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

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

Program Co-Chairs:
Adam Felsenthal
General Counsel
Deputy Chief Compliance Officer
Great Point Partners LLC
Scott Gluck
Duane Morris LLP
Terri Liftin
Chief Compliance Officer
Raith Capital Partners LLC

  • 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
    Duane Morris LLP

    Marc Tobak
    Davis Polk & Wardwell


    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
    Davis Polk & Wardwell LLP

    Rory M. Cohen
    General Counsel
    Varadero Capital, LP

    Shirley U. Emehelu
    Chiesa Shahinian & Giantomasi PC

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

    Alpa Patel
    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

    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