Investment Adviser Custody Issues Post-Madoff

12/07/2017 - 12:00PM to 1:00PM
Join us to discuss the history of the rule and its evolving requirements, including the impact of recent SEC staff guidance issued in February 2017 and how investment advisers can ensure that they remain compliant....
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Breakfast with Scott Alvarez

11/02/2017 - 09:00 AM to 10:10 AM
Join Scott Alvarez, recently retired General Counsel of the Board of Governors of the Federal Reserve System, as he shares some thoughts about his career and the importance of government service at a time marked by the dual challenges of a financial crisis and unprecedented political partisanship....
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Wire-Transfer Scams: Is there Insurance Against Them?

10/16/2017 - 12:30PM to 1:30PM
The panelists will provide an overview of recent decisions from around the country in cases where businesses who have encountered money-wiring attacks seek coverage under various kinds of insurance policies. The panel will highlight the key differences in policy language, and variations in facts, that can make the difference, for insurer and policyholder, between winning and losing....
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Meet the Banking General Counsels

10/12/2017 - 12:00 PM to 1:00PM
Don't miss the opportunity to hear from General Counsels from three prominent banks....
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Nuts and Bolts of Exchange Traded Funds

10/04/2017 - 12:00 PM to 02:00 PM
The program will provide an overview of exchange traded funds (ETFs), including the governing law and regulations, the organization and registration of an ETF with the Securities and Exchange Commission and with exchanges, operational features, how ETFs differ from mutual funds, and current emerging issues....
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The Mysteries of Reference Revealed: Representing Parties at Reference Proceedings Under Massachusetts Law

09/15/2017 - 12:30PM to 1:30PM
This program will provide an overview of the reference procedure, the impact a reference decision can have upon other aspects of the claim and practical tips for using reference to your client's advantage....
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Postponed: SEC Boston Regional Office Exam Focus Areas and Asset Management Unit

05/26/2017 - 12:30 PM to 01:30 PM
Join us to learn about the SEC’s Examinations Program and Asset Management Unit, as they relate, respectively, to examinations and investigations of asset managers and investment vehicles....
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The Nuts and Bolts of FINRA Arbitrations

05/22/2017 - 12:30 PM to 01:30 PM
Join us to learn the basics of how FINRA arbitrations begin and proceed as well as the advantages/disadvantages versus traditional litigation....
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CLE - SEC/DOJ Priorities and Practices as a New Administration Unfolds

04/27/2017 - 09:00 AM to 01:00 PM
Join us for our annual update on what’s hot in securities enforcement! Panels include discussions on enforcement priorities, advocacy before the SEC, and carve-outs for attorneys’ fees in TROs....
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POSTPONED: A Banking Law Discussion: A Look at the Issues Related to Mutual v. Stock Ownership

04/27/2017 - 12:00 PM to 01:00 PM
Join us for a topical discussion of the legal issues involving mutually and publicly owned financial institutions....
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CLE - The Consumer Financial Services Market: Current Trends and Future Outlook

04/03/2017 - 12:00 PM to 01:00 PM
U.S. Congresswoman Ann McLane Kuster to speak on panel about changes to expect from federal regulatory bodies and federal courts under the new presidential administration....
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CLE - Navigating The Federal Whistleblowing Statutes – Learn From The Experts

03/29/2017 - 04:00 PM to 07:00 PM
Learn from the experts on how to best navigate the federal whistleblower bounty programs and anti-retaliation provisions....
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Fundamentals of a Financial Services Legal Practice

03/24/2017 - 12:30 PM to 02:00 PM
The program will describe generally the various types of investment advisers/investment vehicles, the relevant statutes/rules/regulations, and what a securities/IM lawyer does, both in-house and at a firm.  The program will also discuss the role of broker-dealers, the statutes/regulations/rules that govern them, and what broker-dealer attorneys do, both in-house and at a firm. ...
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FDIC Litigation: A New Frontier in Government Enforcement

03/01/2017 - 12:00 PM to 01:00 PM
In this program, panelists will discuss the unique procedural and strategic aspects of FDIC investigations and litigation against banks and bankers....
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SEC and FINRA Examination Priorities for 2017: Registered Investment Advisers and Broker Dealers

02/16/2017 - 12:30 PM to 01:30 PM
Join us to hear about investment adviser and broker dealer examination priorities for 2016, released by the SEC and FINRA....
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The Department of Labor Fiduciary Rule: What Financial Firms Need To Know

02/03/2017 - 12:00 PM to 01:00 PM
The program will address the basics of the DOL Rule, which is scheduled to phase in starting April 2017, and how to comply with its multiple requirements, e.g., the Best Interest Contract Exemption. The panel will consist of in-house and outside counsel and the discussion will include analysis of the Rule’s impact on the industry and business practices....
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CLE - Anti-Money Laundering Update for Financial Services Companies: Understanding new and proposed FinCEN rules

01/26/2017 - 12:30 PM to 01:00 PM
This program is designed to assist practitioners understand the regulatory expectations that financial services institutions have related to new and proposed FinCEN rules and AML program requirements. The panel will discuss FinCEN's final rule related to customer due diligence for certain financial institutions and the proposed AML rule for Investment Advisors....
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Meet the Banking Regulators

01/26/2017 - 12:00 PM to 01:00 PM
Join us for a topical roundtable discussion with the federal and state banking regulators. After this program, attendees will know the trending topics and issues in banking regulation, including recent areas of concern and litigation....
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