Sharon Nelles, Karen Seymour, Steve Peikin, Sarah Payne and Colin Lloyd will speak at SIFMA’s Compliance & Legal Annual Seminar, joining dozens of experts and regulators in the financial services industry for three days of discussion and events. The conference, to be held in San Diego, will explore topics and trends in banking, capital markets, regulatory enforcement, civil litigation, ethics and DEI.
S&C is a sponsor of the event. Learn more about the conference and register here.
Sharon Nelles, the Managing Partner of S&C’s Litigation Group, will join the “Civil Litigation Update” panel. Topics will include ESG and crypto securities claims and related rulemaking and enforcement, the impending SCOTUS decision on the constitutionality of SEC administrative judges and other cases.
Learn more about S&C’s Securities Litigation Practice.
Sarah Payne, the Managing Partner of S&C’s Palo Alto office and Co-Head of the Capital Markets Group, will join the “Current Compliance Issues in Investment Banking” panel. Topics will include managing conflicts of interest, managing and tracking confidential information, interaction with research, issues that arise in securities offerings and cross-border transactions.
Learn more about S&C’s Capital Markets Practice.
Karen Patton Seymour, a partner in S&C’s Litigation Group, a former Executive Vice President and General Counsel of Goldman Sachs, and a former Chief of the Criminal Division for the U.S. Attorney’s Office for the Southern District of New York, will join the “Litigate or Settle” panel. Topics will include litigating while maintaining a constructive relationship with the government, managing your board, c-suite and key stakeholders when choosing to litigate, and managing media and reputational issues.
Learn more about S&C’s Litigation and Criminal Defense & Investigations Practices.
Steven Peikin, the head of S&C’s Securities and Commodities Investigations Practice and former Co-Director of the SEC’s Enforcement Division, will join the panel, “Collusion, Manipulation and False Claims Act Developments.” Topics will include antitrust developments and practice pointers, class certification opposition strategies, trial presentations and strategies and coordinating parallel proceedings.
Learn more about S&C’s Securities & Commodities Investigations Practice.
Colin Lloyd, a partner in S&C’s Commodities, Futures & Derivatives and Capital Markets Groups, will join the panel, “Security Based Swaps.” Topics will include a high-level overview of the SEC security based swap dealer (SBSD) framework, harmonization of CFTC swap dealer and SEC SBSD rules and regulations, SEC SBSD dealer examinations, SBSD compliance program and trade reporting and record keeping.
Learn more about S&C’s Commodities, Futures & Derivatives and Capital Markets Practices.
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