Cathy Clarkin, Eric Diamond, Colin Lloyd and Jamie McDonald 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 22 to 25, will explore topics and trends in banking, capital markets, regulatory enforcement, civil litigation, crisis management and ethics.
S&C is a sponsor of the event. Learn more about the conference.
March 23: Swap Dealer and OTC Derivatives
Colin Lloyd, a partner in S&C’s Commodities, Futures & Derivatives and Capital Markets Groups, will join the panel “Swap Dealer and OTC Derivatives.” Topics will include recent regulatory developments for swap dealers and security-based swap dealers, SEC-CFTC harmonization, compliance and exam challenges and emerging products and technological developments in over-the-counter derivatives markets.
March 23: Navigating Legal Complexity in Private Markets
Eric Diamond, a partner in the Financial Services Group and co-coordinator of the Firm’s Investment Management practice, will join the panel “Navigating Legal Complexity in Private Markets.” Topics will include the expansion of retail access to private funds, private offerings and access, private credit growth, trends and legal and compliance priorities.
March 24: Current Legal & 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 trends in SEC and securities offerings, SEC and FINRA regulatory developments and select litigation updates.
March 24: Former Enforcement Directors: A View from the Outside
Jamie McDonald, a partner in S&C’s Litigation Group and former Director of Enforcement at the U.S. Commodity Futures Trading Commission, 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 for the remainder of this administration.