Regulation of Financial Services 2018 Actionable Insights on Regulatory Reform

Event Details

May 17, 2018

9:00 AM - 4:00 PM

New York, NY

$395 USD

The Thomson Reuters Legal Executive Institute is proud to present a timely forum on hot topics and key developments involving the regulation of financial services. This premier event is designed for lawyers, banking, and compliance professionals interested in staying abreast of critical developments around global regulatory policies, financial technology, and the escalating sanctions environment as taught by esteemed industry practitioners, regulators, and legal experts from some of the nation’s most esteemed organizations .

Plan to attend and gain essential takeaways for financial service providers and industry professionals at all levels of an organization.

Register today! Online registration now open!

Special Offers

Group discounts available. Call 1-800-308-1700 for details.

Why You Should Attend

  • This conference offers financial services professionals critical advice on the regulatory guidelines all companies must adhere to in the current business climate
  • Our expert faculty will leverage their formidable public and private sector expertise to address key questions and concerns
  • Our distinguished regulators will offer direct insight into current and forthcoming developments emerging from our nation's capital
  • Network and share ideas with peers from across the industry

    Who Should Attend

  • Compliance professionals in financial services (Directors, Vice Presidents, Chief Compliance Officers)
  • Corporate counsel (General Counsel, Associate General Counsel)
  • Regulatory authorities & federal employees
  • Chief Ethics Officers
  • Law firm attorneys specializing in financial services
  • Event Details

    Thursday, May 17

    8:30 AM
    Registration & Breakfast
    9:30 AM
    Opening Remarks
    9:45 AM
    Dodd-Frank and Financial Regulation under the Trump Administration: Reform, Repeals and ‘Rollbacks’

    President Donald Trump and Republicans have pledged to make sweeping reforms to virtually all financial regulations and restrictions imposed under President Barack Obama, including Dodd-Frank. Democrats have pledged equal opposition to the attack on Dodd-Frank and regulations aimed at restricting banks. During this engaging session, we will address:

    • The future and fate of Dodd-Frank
    • What can banks expect from possible reforms?
    • The political climate and possible concessions between GOP and Democrats
    • The Financial Choice Act – does it have a chance?

    Robert Ledig, Counsel, Dechert LLP

    Reena Agrawal Sahni, Partner, Shearman & Sterling LLP
    Oliver I. IrelandSenior Counsel, Morrison & Foerster LLP

    11:00 AM
    Morning Break
    11:15 AM
    Staying Ahead of the Curve: Leveraging Big Data Platforms and Data Analytics to Ensure Compliance

    The utilization of big data solutions and data analytics may hold the key to quickly identifying risks and ensuring effective regulatory compliance. During this session we will explore:

    • Big data platform capabilities
    • Leveraging predictive analytics for risk detection and analysis
    • Build or Buy?
    • Case study examples

    Nathan GreenePartner, Shearman & Sterling LLP

    Ken JosephManaging Director, Duff & Phelps
    Simon LorneChief Legal Officer, Millennium Partners
    Christina McGlosson, Associate Director of Enforcement, U.S. Commodity Futures Trading Commission (CFTC)

    12:15 PM
    Networking Luncheon
    1:30 PM
    Mastering New Regulatory Guidelines Around Data Privacy & Cybersecurity

    Growing risks posed by cybercriminals are forcing banks and financial institutions to beef up their security to prevent and safeguard against data breaches. New regulations are also putting greater onus on banks to ensure investor privacy and safeguard digital assets and information. This engaging session will closely examine:

    • Current and proposed legislation and regulatory measures aimed at strengthening cybersecurity and data privacy protections
    • The current cyber-threat landscape in 2018 and actionable steps banks are taking to protect their data and information
    • Lessons learned from high-profile financial data breaches and what could have been done differently to prevent them
    • Recent high-profile enforcement actions

    David CurranGlobal Director, Risk & Compliance, Thomson Reuters

    Christina AyiotisConsultant, Cybersecurity and Information Governance
    Avi Gesser, Partner, Davis Polk & Wardell LLP
    Edward M.
    Stroz, Co-President, Stroz Friedberg 

    2:30 PM
    Creating a Culture of Integrity: Blowing the Whistle to Root Out Employee Misconduct and Fraud within Financial Services

    With the amendment of the US Commodity Futures Trading Commission’s (CFTC) whistleblower rules in May 2017, financial services organizations are facing an increasingly vigilant regulatory landscape committed to a more accountable and ethical culture. In an age where globalized business practices have yielded similar regulatory updates from Asian and European authorities, how a given organization complies with such rigid guidelines will have a profound impact on the institution’s bottom line. This timely session offers:

    • Best practices for creating a true culture of integrity within banks and financial services organizations
    • Identifying and reporting misconduct
    • Developing whistleblowing and internal reporting capabilities

    Julia M. Jordan, Partner, Sullivan & Cromwell LLP

    Dennis Lormel, Chief Executive Officer, DML Associations & Former FBI Financial Crimes Section Chief
    Lee Renzin, Associate General Counsel, Deputy Global Head, Global Internal Investigations, HSBC

    3:30 PM
    Afternoon Break
    3:45 PM
    Examining Banking Modernization and the Global Regulation of Virtual Currencies

    While new technologies have dramatically streamlined efficiencies for banks and financial services institutions, many have struggled to effectively make the transition from their legacy systems. As virtual currencies and new technologies become more prevalent for processing transactions, the onus for banks to adopt new, innovative mechanisms to allow for efficient and seamless processing, becomes ever more imperative.  This session will examine:

    • The applicability and sustainability of the virtual currency landscape
    • Regulation of emerging financial technologies
    • How to transition from legacy banking systems to new innovation solutions

    Joseph RaczynskiManagerTechnical Client Management, Thomson Reuters

    Lona NallengaraPartner, Shearman & Sterling LLP

    4:45 PM
    Closing Remarks & Conclusion


    The Harvard Club of New York City

    35 West 44th Street (between 5th & 6th Aves.)
    New York, NY 10036

    The Harvard Club of New York City is an historic and elegant setting conveniently located in midtown Manhattan.  Business casual attire is required for all visitors: no jeans, sneakers or athletic wear permitted.

    We recommend dressing in layers, as meeting room temperatures tend to fluctuate.

    More Info

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    Sofitel New York (148 ft.)


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    The Chatwal, a Luxury Hotel ,New York City


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