Sharon Nelles, Cathy Clarkin, Steve Peikin, Dalia Blass, Jamie McDonald 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 Austin from March 23 to 26, 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 24: Former Enforcement Directors: A View From The Outside
Jamie McDonald, a partner in S&C’s Litigation Group, will join the panel “Former Enforcement Directors: A View From The Outside.” Topics will include understanding enforcement priorities, navigating interactions with enforcement authorities, enforcement during periods of transition and what to expect in the next four years.
March 24: Current Compliance Issues in Investment Banking
Cathy Clarkin, Co-Head of S&C’s Capital Markets Group, will join the panel “Current Compliance Issues in Investment Banking.” Topics will include managing conflicts of interest, protection of confidential information, and the use of AI and its compliance considerations.
March 25: Civil Litigation Developments: Securities Class Actions & Other Significant Litigation Cases
Sharon Nelles, Managing Partner of S&C’s Litigation Group, will join the panel “Civil Litigation Developments.” Topics will include developments in aiding and abetting liability, rising trends in qui tam/false claims act litigation, and a Supreme Court roundup.
March 25: Managing Compliance Across Affiliated Entities: Broker-Dealers, Funds, Investment Advisers and Banking Institutions
Dalia Blass, the Senior Investment Management Partner at S&C, will join the panel “Managing Compliance Across Affiliated Entities.” Topics will include optimizing the affiliated entities structure for an effective compliance organizational model, navigating affiliate-related conflicts of interest and evaluating proprietary products for distribution.
March 25: 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 and policy outlook, recent and upcoming rule implementation, CFTC enforcement and SEC security-based swap dealer examinations.
March 26: Life After Chevron: Does It Really Change Anything?
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 “Life After Chevron: Does It Really Change Anything?” Topics will include the changing legal landscape for the financial industry in light of Loper Bright v. Raimundo and anticipated regulatory changes and challenges concerning environmental and social issues.