• Latest issues and trends in enforcement among leaders from the SEC, FINRA, CFTC, and the Department of Justice
• The impact of COVID
• Agency priorities
• Cooperation, investigation length, whistleblowing, and criminal liability for corporations
• New areas of enforcement, including developments in the digital/crypto space and the forthcoming implementation of Regulation BI

Sponsored by Sidley Austin 

What are collateral consequences? Are there different kinds? When do you need to watch out for them, and how are they best handled? A panel of experts, including in-house, outside counsel and former regulators will advise on the types of collateral consequences, potential pitfalls, their impact on your business, when you are most likely to encounter them, what kinds of relief are available, and how to proceed. If you’re negotiating an enforcement settlement with the DOJ, SEC, CFTC, SRO or state, this is a must-attend panel.

• The Changing Securities Litigation Landscape : Event-Driven Litigation, Code of Conduct Breaches, etc. (CBS, Signet and Others)
• State Court and Evolving State Law Landscape — Life After Cyan, SLUSA and Delaware Fiduciary Law Developments (Section 220 Demands, Del. Sup. Ct. Sciabacucchi decision, etc.)
• Extraterritoriality Issues Continue—Toshiba, Madoff, Morrison and Collective Proceedings outside the U.S.
• Impact of Past Supreme Court Decisions (Lorenzo, Omnicare, Halliburton, Liu v. SEC) and Cases Pending Before the Court (IBM v. Jander)
• Update on Cartel/Collusion Litigations: Class Certification (FX and Implications for Financial Products Antitrust Litigation, Price Maintenance Theory in Securities Cases)

• Can you litigate and maintain a constructive relationship with the government?
• Taking the government to trial – Exxon and its implications
• Managing media and publicity issues
• Considerations around changes in administration

• COVID-19 Impact on Investment Banking
• Issues in Connection with Securities Offering – Direct Listings, TTW, SPACs, SEC Enforcement
• Social Justice, Black Lives Matter and #MeToo Movements: Impact on banking transactions
• Banking Compliance Considerations under Reg BI
• M&A Developments: MAC clause, foreign investment rules

• Joint Development of Diverse Talent – The Next Step
• The Ethics Argument for Promoting Equality in the Profession (ABA Rule 8.5)
• Carving a Path Towards Senior Leadership in Legal and Compliance

• 2019 Enforcement and Regulatory Highlights & 2020 Horizon Scanning
• Challenging Concepts –  from operating models to extra-territorial application of rules
• Initiating and Maintaining a Cross-Border program  – What does your firm need?
• Leveraging technology –  What’s the latest available?
• Integrating ancillary elements – product rules, tax privacy, travel

• Cross-Border Rules
• Capital Rules
• Key Differences between Swap Dealer and Security-Based Swap Dealer Rules and Implementation Considerations
• Recent Enforcement Actions
• Regulator Updates and Priorities – Insights from the DSIO and the NFA

• Planning for the future – Technology/Artificial Intelligence/Robotics/Data
• Current and Shifting Compliance Risks & Connectivity with Operational Risk
• How the Compliance Function is Changing
• Compliance Officers of the Future – Skills, acumen and diversity considerations
• Regulators’ Expectations of Compliance and CCO Liability

• Regulatory Guidance on Using Social Media and Potential Impact of the SEC’s Proposed Advertising Rule
• Social Distancing Marketing Considerations
• Innovative Design Techniques and Utilization of Disclosure in Digital Communications
• Challenges Presented by Mobile Devices and the Evolving Social Media Landscape
• Supervision and Record Retention Challenges of Communication Apps and Websites
• Recent Disciplinary Actions Involving Social Media and Electronic Communications

• Using Data to Connect the Dots Across Your Firm
  • Harnessing Artificial Intelligence and Machine Learning for Surveillance
  • Leveraging Natural Language Processing
• Navigating Potential Pitfalls: New Tech Implementation, Recruiting Challenges and Communication with Technologists
• Evolving Role of Digital Services Platforms in Financial Institutions
  • SEC Regulation Best Interest and Digital Services Platforms
• Regulators Approach to Technology & Big Data
  • What Do They Expect from Us?
  • OCIE 2020 Examination Priorities
  • Recent Enforcement Actions

• Regulatory Considerations When Evaluating a Move to a Cloud
• Cybersecurity and Business Continuity Issues Involving Cloud Solutions
• Conducting Due Diligence on Cloud Providers and Platforms
• Data Privacy and Cross Border Risks in the Cloud

• Evolving standards of care: Regulation Best Interest Implementation Update
• Privacy issues
• Business model challenges
• Impact of technology
• Litigation and enforcement trends

• FINRA Dispute Resolution Update
• Potential Reg BI Claims on the Horizon
• Senior Issues in Arbitration – What to Expect
• Lessons from behavioral economics and cognitive science to inform advocacy strategies

Sponsored by:
QuisLex
 
Institutions around the world are preparing for the transition away from LIBOR. The high level plan sounds simple. Find and collect your affected contracts, review them, then update them to include a new reference rate or viable “fallback” language. But the sheer scale of these projects can mean millions in costs, so setting up an efficient review across asset classes is critical. The panel will walk through an example of an end-to-end solution to LIBOR contract repapering, weaving in best practices and proven results from panelists real world use cases. Topics covered will include: (i) the steps to take before kicking off a project to set yourself up for success, (ii) where you can incorporate leading legal technology and AI to automate tasks, (ii) how to leverage cost efficient resources to fill in the gaps and complete quality reviews, and (iii) the role an SME plays to resolve escalations and outliers.

Sponsored by Morgan Lewis

A summary of the DOL’s proposal with a focus on impacts to interactions with retirement investors through brokerage and advisory models.  Key areas to be addressed include comparison to SEC standards (Reg. BI/Advisers Act interpretations), comparison to the vacated DOL fiduciary rule, and the potential effect on product distribution (packaged products, sweep, principal traded securities).

Sponsored by Allen & Overy

Please join us as we discuss recent trends in U.S. Foreign Corrupt Practices Act enforcement, with a focus on the increase in cross-border cases where authorities from around the world coordinate to obtain evidence and reach multi-million dollar settlements against corporates and financial institutions.  We will also discuss ways in which companies can proactively protect themselves against the risk of these investigations and how we can help.

Sponsored by Bressler, Amery & Ross

In 2021, complex investments such as REITs, structured products, and leveraged ETFs are likely to take center-stage in the FINRA forum as investors seek both yield in a historically low interest rate environment and strategies to profit during a period of intense market volatility.  With the events of 2020 and an aging investor population, allegations relating to vulnerable investors and claims arising from margin calls are also likely to be running themes.  Join our panel of rising litigation stars as they forecast next year’s arbitration trends and related defense strategies.

Sponsored by Davis Polk & Wardwell 

Sponsored by Morningstar

The Regulation Best Interest June 30 deadline has come and gone, and your firm has likely reviewed your disclosure process to ensure a Customer Relationship Summary is provided to a retail investor when appropriate. What is your firm doing to ensure you have a reasonable basis for making investment recommendations?

Join our session to hear from our experts on the latest regulatory landscape and learn how your firm can use Morningstar’s Regulation Best Interest solutions to succeed under this new regulation.

In this on demand session, we’ll cover how your advisors can use our tools to:

• Evaluate the reasonableness of recommendations
• Tailor portfolios to investor goals
• Recommend rollovers with compliance obligations in mind
• Design investment lineups that serve clients’ best interests
• Access managed portfolios built to help you focus holistically on your clients
• Understand, identify, and recommend annuities that are a best fit for clients

Sponsored by: Protiviti

We are in the midst of a digital revolution. Innovation investments continue to increase but compliance executives are now better able to distinguish hype from reality and focus these investments on areas that will provide the greatest returns. This session will discuss real-life examples of financial institutions that have successfully harnessed the potential of innovation to increase efficiencies and better align compliance efforts to business goals and objectives for growth.

Sponsored by Skadden, Arps, Slate, Meagher & Flom LLP

Looking back at the first six months of 2020, our panel will examine developments in securities class actions and other major securities-related cases, offering insights on a range of topics. Discussion topics will include:

• An overview of the first-half filing trends, including the impact of COVID-19 and the moderate decrease in securities class action filings — will the trend line continue?
• Recent Omnicare decisions regarding reserving, and other judgmental disclosures
• The latest on concurrent state and federal Securities Act filings following the Supreme Court’s 2018 decision in Cyan
• The proportional increase in securities class action filings against foreign issuers
• Recent district and appellate court developments related to scienter, disclosure, loss causation and other areas, including the Second Circuit’s recent decision regarding class certification

Sponsored by Smarsh

Businesses are continuing to adjust to the reality that distributed workforces will be with us for a while. Remote workers continue working full-time on Microsoft Team, Slack, Zoom, and a plethora of mobile apps – only some of which that have been authorized for business use. A few were prepared for this transition, while others are investing in training, policy controls and technologies to address new infosec, compliance, and intellectual property risks. However, best practices are emerging that can help firms manage remote employees and their use of mobile, social, and collaboration technologies. In this session, we will discuss:
• How to adjust communications policies to reflect the use of technologies including Microsoft Teams, WhatsApp/WeChat, Slack, and Zoom
• How firms can identify and control security, privacy, and compliance risks of remote workforces
• How firms can stay prepared for events such as investigation and litigation
• How companies can adjust training programs to provide the appropriate guard rails for stay-at-home workers

Sponsored by Mayer Brown

Broker-dealer firms must consider particular issues relating to the transition away from the use of the London Interbank Offered Rate.  On June 18, 2020, the Office of Compliance, Inspections and Examinations of the U.S. Securities and Exchange Commission announced in a risk alert that it will conduct examinations of SEC-registered broker-dealers and investment advisers, among others, to assess their preparedness for LIBOR’s expected discontinuation.  In a clear warning to registrants regarding LIBOR preparedness, OCIE noted that, “Preparation for the transition away from LIBOR is essential for minimizing any potential adverse effects associated with LIBOR discontinuation. The risks associated with this discontinuation and transition will be exacerbated if the work necessary to effect an orderly transition to an alternative reference rate is not completed in a timely manner”

Our program will cover the following:

·         SEC Guidance on IBOR Transition – It’s later than you think!

·         FINRA’s LIBOR Phase-Out Preparedness Survey – What should your firm be doing now?

·         Preparing for potential current and future litigation risk – How to identify and mitigate risk?

·         Legislative solutions in the U.S. and E.U. – Overview of potential solution.