Previous Events & CLE Programs
April 10, 2008
Committee Meeting
Current Market Turmoil: Supervisory Focus and Risk Management Lessons Learned
Sponsors
Banking & Financial Services Committee
Boston University Morin Center for Banking and Financial Law
William L. Rutledge, executive vice president of the Bank Supervision Group at the Federal Reserve Bank of New York, will present on the current financial crisis caused by the fallout in the subprime mortgage industry and the challenges presented to regulators.
February 11, 2008
Committee Meeting
Rep. Barney Frank to Discuss Lessons from the Subprime Crisis
Sponsors
Banking & Financial Services Committee
Boston University Morin Center
for Banking and Financial Law
Representative Barney Frank, Chairman of the House Financial Services Committee, will discuss the sub-prime crisis.
November 13, 2007
Committee Meeting
Federal Preemption and the Future of the Dual Banking System
Join us for a panel discussion regarding two recent federal preemption decisions – Watters v. Wachovia Bank and, closer to home, SPGGC, LLC (Simon Giftcards) v. Ayotte – and their implications for the dual banking system.
Panelists include:
Moderator:
October 23, 2007
Committee Meeting
Views from FINRA: Overview of Current Regulatory Initiative & Enforcement Matters
Sponsors
Securities Law Committee
Mergers & Acquisitions Committee
Banking & Financial Services Committee
Corporate Counsel Committee
Corporate Law Committee
Investment Companies & Advisers Committee
Securities Enforcement & Litigation Committee
Trusts & Estates Section
Frank Sanclemente, Regional Counsel for the Financial Industry Regulatory Authority, will discuss the current initiatives of FINRA relating to the protection of senior investors. Mr. Sanclemente will discuss the regulatory issues affecting firms and registered representatives, as well as present an overview of enforcement matters originating out of FINRA’s Boston District Office.
FINRA is the largest non-governmental regulator for all securities firms doing business in the United States and was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the NYSE.
September 19, 2007
Committee Meeting
Avoiding Employment Discrimination Claims In an Era of the Aging & Health-Impaired Workforce
Sponsors
Corporate Counsel Committee
Insurance Law Committee
Banking & Financial Services Committee
Labor & Employment Law Section
Chris Kauders, mediator/arbitrator with Pretrial Solutions, and Pam Smith, an attorney with more than twenty years experience as in-house counsel with two Fortune 500 companies and a major university, will discuss the explosion in disability discrimination claims due to an aging and less healthy workforce which often results from management’s lack of awareness and training. Too often, employers assume managers know the right thing to do; unfortunately, oftentimes they do not. The manager’s ignorance will be no excuse under the law for the employer. The solution: some simple and cost-effective steps that employers can take to avoid litigation which our speakers will share with us.
March 29, 2007
Committee Meeting
An Introduction to Microfinance
Sponsors
Banking & Financial Services Committee
Commercial Finance Committee
Corporate Counsel Committee
Morin Center for Banking & Financial Law
Virginia Valdez, General Counsel of ACCION International, will give an introduction to the topic of microfinance – its origin, structure and application. A typical microfinance transaction will be discussed to highlight its difference from an ordinary commercial or consumer loan. The lecture will also discuss the experience of ACCION International, a microfinance institution with lending activities both locally and internationally.
March 22, 2007
Committee Meeting
An Introduction to Islamic Finance
Sponsors
Banking & Financial Services Committee
Commercial Finance Committee
Corporate Counsel Committee
Investment Companies & Advisers Committee
Morin Center for Banking & Financial Law
Babback Sabahi, Associate at Mayer Brown LLP will discuss the principles of Islamic Finance, which is based on teachings contained in the Koran. The lecture will examine simple and complex financial transactions and how they can be structured along Islamic financial principles.
March 1, 2007
Committee Meeting
Globalization of Securities Exchanges
Sponsors
Business Law Section
Banking & Financial Services Committee
Corporate Counsel Committee
Investment Companies & Advisers Committee
Securities Law Committee
The Morin Center for Banking & Financial Law
Erik Sirri, Director of the Division of Market Regulation for the Securities and Exchange Commission will discuss the evolution of exchanges from serving local financial markets to their expansion overseas as a result of acquisitions of foreign exchanges. The lecture will explore the implications of these acquisitions from a regulatory and economic standpoint.
February 22, 2007
Committee Meeting
The Pension Protection Act and Its Impact on Investment Advisers
Sponsors
Investment Companies & Advisers Committee
Banking & Financial Services Committee
ERISA Committee
Susan Camillo, a partner at Dechert LLP, and Scott Webster, a partner at Goodwin Procter LLP, will discuss the impact of the Pension Protection Act on investment advisers that deal with ERISA assets. Specifically, they will discuss:
- changes to ERISA's "plan assets" rule which have affected how managers of unregistered investment funds structure and operate those funds;
- the new statutory exemptions from ERISA's "prohibited transaction" rules;
- the new provisions of ERISA on participant investment advice;
- new rules on the selection of default investments and the mapping of investment options.
January 17, 2007
Committee Meeting
Challenges Faced When Establishing an Enterprise-Wide Compliance Risk Management Program
**Co-sponsored with the Corporate Law Committee and Corporate Counsel Committee**
Joel Brickman, General Counsel, Secretary and Senior Vice President of Citizens Financial Group and John Beccia, Asst. General Counsel of Investors Bank & Trust, will discuss the challenges associated with establishing an enterprise-wide compliance program, including the following:
- How to establish a compliance culture
- Commitment of Senior Management
- Oversight
- Accountability within the organization
- Elements of an effective compliance program
- Organization structure
- Roles and responsibilities
- Risk assessments and monitoring
- Policies, procedures, and controls
- Training
- Testing
- Enforcement of policies and corrective action
- Management reporting
Please join us for an informative discussion about this important governance issue – one that is critical to in-house counsel in all types of organizations.
November 20, 2006
Committee Meeting
E-Discovery and Electronic Document Retention Issues Affecting Financial Institutions
**This meeting is co-sponsored with the Corporate Law Committee and Corporate Counsel Committee**
Recent case law and changes to the Federal Rules of Civil Procedure effective December 1, 2006 have altered the business and litigation landscape with respect to electronic document discovery and retention. The panel will discuss changes and how they affect financial institutions. The speakers will include:
November 13, 2006
Committee Meeting
The ABA’s Model Form of Deposit Account Control Agreement
**This meeting is co-sponsored with the Commercial Finance Committee and Corporate Law Committee**
Edwin E. Smith, a partner at Bingham McCutchen LLP, will discuss the Model Form of Deposit Account Control Agreements and the related report promulgated earlier this year by the ABA Business Section Joint Task Force on Deposit Account Control Agreements. Mr. Smith is the Reporter of the Task Force, and was also actively involved in drafting Revised Article 9 of the UCC as the UCC Commissioner for Massachusetts.
November 2, 2006
Committee Meeting
Rethinking Corporate Governance and Controls
**Co-sponsored with the Corporate Law Committee and the Mergers & Acquisitions Committee**
Lewis B. Kaden, Vice Chairman and Chief Administrative Officer, Citigroup, Inc, will lead a program on Citigroup's experience with the new emphasis on corporate governance, particularly as the company strives to strike an overall balance between controls and forward thinking to promote shareholder value.
This program was made available to BBA members thanks to the Morin Center for Banking and Financial Law School of Law at Boston University.
October 26, 2006
Committee Meeting
M&A in Asset Management Industry
**Co-sponsored with the Investment Companies & Advisers Committee and Mergers & Acquisitions Committee**
The building momentum of MFS and Putnam deals has refocused attention on mergers and acquisitions in the asset management industry. These transactions raise significant business, legal and compliance issues. Please join us for a panel discussion by industry experts who will focus on these issues, including:
- The business considerations driving purchases and sales of advisory businesses and valuation issues
- The types of transaction structures
- The anatomy of a typical financial services M&A deal and special considerations in these types of deals
- Management ownership and incentives and related structuring considerations
- Special issues in fund reorganizations and the role of the fund board
Please bring your questions.
Panelists:
Elizabeth Shea Fries
Partner, Goodwin Procter LLP
Thomas J. LaFond
Partner, Goodwin Procter LLP
Raj Marphatia
Partner, Ropes & Gray LLP
Brian D. McCabe
Partner, Ropes & Gray LLP
Joseph R. Ramrath
Managing Director, Colchester Partners LLC
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