Financial Regulators Speak and Listen 2009
New York, New York
Spend the day interacting with the leading regulators in the financial and securities fields and hear about the latest developments from those in the know.
Thursday, October 15, 2009
9 a.m. to 5 p.m.
New York County Lawyers' Association
14 Vesey Street, 2nd Floor Auditorium
New York, New York
Ernest E. Badway, co-chair of the Securities Industry Group and the White-Collar Compliance and Defense Practice Group at Fox Rothschild, and David Jaffe from FINRA are the program chairs of this day-long MCLE program that is a must-attend for those in the financial and securities fields.
The program will feature:
Panel 1: Federal Civil Regulator Enforcement
A look at recent developments; changes at the FED, SEC and CFTC; ponzi schemes; ARS/CDOs/subprime; bank crisis; interplay of federal regulations with all players; "rumors" and the Bear Stearns crisis; and credit default swaps.
Securities and Exchange Commission
Vincent A. McGonagle
Commodities and Futures Trading Commission
Arnold & Porter
Scott D. Corrigan
Wiggin and Dana (Panel Moderator)
Director of Enforcement, Federal Reserve
Panel 2: Self-Regulatory Organization(SRO)/Public Company Accounting Oversight Board (PCAOB) Enforcement
A look at recent developments/consolidation; criminal aspects; variable annuities/Rule 151A; privileges; subprime crisis/CMOs/CDOs/ARS; AML; § 5 cases; and international financial reporting standards.
Deputy Director and Chief Trial Counsel, Public Company
Accounting Oversight Board
Executive Vice President of NYSE Regulation's Enforcement Division
Andrew W. Reich
Baker Hostetler (Panel Moderator)
Panel 3: Federal Criminal Enforcement
A discussion of cooperation between civil and criminal enforcement; issues associated with the credit crisis; cooperation issues and the new Filip Memo; ponzi schemes; insider trading – PIPE cases; and state actor considerations.
Chief, Securities and Commodities Fraud, U.S. Attorney's Office,
Chief, Business and Securities Fraud, U.S. Attorney's Office, E.D.N.Y.
Team Leader, Federal Bureau of Investigation
Bracewell & Giuliani (Panel Moderator)
Panel 4: State Civil and Criminal Enforcement
A review of executive compensation, insurance issues, investor protection issues, pension fund scandal and the return of "boiler rooms."
Assistant District Attorney, New York District Attorney's Office
Dietrich (Dieter) Snell
Jonathan S. Sack
Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P.C.
Register for this program.