Karen Seymour, Sharon Nelles, Steve Peikin 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 Orlando from March 17 to 20, 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.
March 18: General Counsel & Chief Legal Officer Roundtable
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 moderate the “General Counsel & Chief Legal Officer Roundtable” panel. Topics will include the responsible use of AI, leading a team through a crisis and what GCs look for in outside counsel.
March 18: Civil Litigation Developments: Securities Class Actions & Other Significant Litigation Cases
Sharon Nelles, Managing Partner of S&C’s Litigation Group, will join the “Civil Litigation Developments” panel. Topics will include developments in aiding and abetting liability, litigation implications of enforcement actions and impending decisions on important cases.
March 18: Risk and Crisis Management 101: The Role of Legal and Compliance
Steve 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, “Risk and Crisis Management 101: The Role of Legal and Compliance.” Topics will include proper implementation of response plan and stakeholder management, potential pitfalls and lessons learned and remediation.
March 18: SEC and CFTC Swap Dealers – Regulatory Issues
Colin Lloyd, a partner in S&C’s Commodities, Futures & Derivatives and Capital Markets Groups, will join the panel, “SEC and CFTC Swap Dealers – Regulatory Issues.” Topics will include an update on rulemaking, recent and upcoming rule implementation, CFTC enforcement and SEC security-based swap dealer examinations.