Banking Committee Meet & Greet Luncheon

12/18/2014 - 12:00PM to 1:00PM
The Banking Committee welcomes banking attorneys and BBA members of all sections to join our every-other-month Meet & Greet Luncheons on alternate third Thursdays from 12:00 pm – 1:00 pm. This is an opportunity to meet your fellow banking bar members while enjoying lunch at the BBA....
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Representing Clients in SEC Administrative Proceedings: The Nuts & Bolts

12/10/2014 - 12:30PM to 1:30PM
The program will address the rules and strategies for litigating matters in the SEC's administrative forum. Learn tips, tricks, and best practices....
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Cyber Risk Insurance: Surging Demand and Evolving Law

12/09/2014 - 12:30PM to 1:30PM
Traditional insurance markets have responded with a variety of cyber insurance products, many of which are still evolving. This presentation will address the types of cyber risks businesses face, the developing body of case law involving cyber risk insurance, and the cyber products offered by insurers....
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Meet the Regulators: A Conversation with Senior SEC Enforcement Officials

12/03/2014
Join us for a discussion with the head of the SEC's Boston office, the head of enforcement in Boston, and the nationwide head of the municipal securities specialized unit....
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Meet the Bank Regulators' Lawyers

11/20/2014 - 12:00PM to 1:00PM
Join us for a panel discussion with lawyers at various state and federal bank regulatory agencies, and learn about the current issues they face....
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Ethics Issues for In-House Counsel

11/19/2014 - 4:00PM to 5:00PM
Join our panel of in-house lawyers for an engaging presentation and discussion about ethics issues for in-house counsel....
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Boston Gas: Five Years Later

11/18/2014 - 12:30PM to 1:30PM
This year marks the five-year anniversary of the seminal SJC ruling in Boston Gas v. Century Indemnity Co., 454 Mass. 337 (2009). In this program, a distinguished panel -- including several attorneys involved in the original Boston Gas litigation -- will review the decision's significance, discuss its impact, and survey the questions it left unanswered. Those questions include, for example, whether the SJC's pro rata rationale should apply to defense costs, or only to indemnity; whether it should extend to bodily injury (as well as property damage) claims; how the coverage block should be determined; and the means by which insureds may avoid pro rata allocation by a factual attribution of injury to particular policy years....
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The SEC's Whistleblower Program: Developments and Best Practices

11/03/2014 - 12:30PM to 1:30PM
Join us in learning the fundamentals of the SEC's Whistleblower Program and best practices for responding to claims by whistleblowers. ...
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Broker-Dealers Continued: Regulatory Reporting for Firms and Individuals

09/23/2014 - 12:00PM to 1:00PM
The focus of this program will be regulatory reporting requirements under FINRA Rule 4530, Form U4, Form US and new FINRA Rule 3010(d). Panelists will also discuss the consequences of such filings including regulatory inquiries from FINRA Enforcement, FINRA Office of Fraud Detection and Market Intelligence, SEC Enforcement, state regulators, and law enforcement....
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Insurance Coverage For Government Investigations

09/09/2014 - 12:30PM to 1:30PM
This program will cover the significant defense costs of formal and informal government investigations and the likelihood of coverage under D&O policies for these costs; the importance of policy language in establishing coverage; and the availability of coverage for formal and informal government investigations in the market....
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Mutual Fund Governance-Historical Perspective and Emerging Issues for Independent Directors and Fund Management

07/15/2014 - 12:30PM to 1:30PM
The panel will review the statutory and common law foundations for mutual fund independent director duties, review recent developments, including the Morgan Keegan and Northern Lights SEC enforcement actions, and discuss unique issues facing directors of alternative mutual funds. The panel will also provide practical advice on building an effective mutual fund board/management relationship....
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What’s in Your Bitcoin Wallet? The Real World Risks of Virtual Currency

06/19/2014 - 12:30PM to 2:00PM
Panelists from the bar, the FBI, and accounting and finance professions will review how Bitcoin was created, the technology that supports Bitcoin, how it functions, and potential problems with the use of virtual currencies. They will review practical considerations for valuing Bitcoin transactions and assets, identifying fraud and other malfeasance, and the impact on capital markets. Attendees will be encouraged to participate in a discussion of the potential legal issues surrounding Bitcoin and other virtual currencies....
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CLE - Whistleblowers: A Practical Discussion of How to Respond to Claims and Address Risks

06/16/2014
In this CLE, we will provide an overview of whistleblower programs, key developments in applicable laws, how to develop an appropriate response to whistleblower claims, and steps that employers can take to address whistleblower risks....
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Developments in Alternative Registered Funds

06/12/2014 - 12:30 PM to 01:30 PM
This program will cover the latest legal and business developments in the fast-moving alternative registered fund industry. ...
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Financial Services Section Year End Social

06/09/2014 - 05:30 PM to 07:30 PM
Come celebrate another successful program year with your fellow Financial Services section members. Discuss summer plans over beer, wine, and hor d'oeuvres. ...
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Broker-Dealers: Regulatory Reporting for Firms and Individuals

06/09/2014 - 12:30PM to 1:30PM
This program will focus on the regulatory reporting requirements under FINRA Rule 4530, Form U4, Form U5, and the new FINRA Rule 3010(d); the program will also discuss the consequences of such filings including regulatory inquiries from FINRA Enforcement, FINRA Office of Fraud Detection and Market Intelligence, SEC Enforcement, state regulators, and law enforcement. ...
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Becoming a Public Company: Overview and Selected Legal Issues

05/27/2014 - 12:30 PM to 01:30 PM
Going public is a seminal event for any growing company that requires close coordination among company executives, bankers, and legal counsel. Whether representing the company or the bankers, lawyers in an initial public offering must have a nuanced understanding of the myriad of legal and business issues that may arise. This presentation will cover the key elements of the IPO process and a discussion of select legal issues, including the IPO timeline, “hot button” SEC issues, board composition matters, selecting bankers and diligence preparations....
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CLE - The Massachusetts Securities Division: Effective Investigation and Litigation Advocacy

05/21/2014
As one of the most active state securities regulatory agencies, The Massachusetts Securities Division (MSD) is increasingly focused on its enforcement priorities. Join us for an in-depth look at MSD investigations and proceedings. Learn from Boston's best as to the finer points of practice in this active and complex arena....
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An Introduction to the Consumer Financial Protection Bureau

05/02/2014 - 12:30PM to 1:30PM
Kimberly Monty of the Consumer Financial Protection Bureau will provide an overview of and introduction to the CFPB. Ms. Monty will explain what the CFPB does, where it is, how it is structured and what its authorities are. A question and answer session will follow Ms. Monty’s presentation....
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Massachusetts Attorney General’s Revised Debt Collection Regulations Two Years After Enactment

04/23/2014 - 12:30 PM to 1:30 PM
In March, 2012, the Massachusetts Attorney General’s revised consumer debt collection regulations became effective (940 CMR 7.00 et seq.). These regulations were amended to keep pace with changing technologies. They also created new obligations for creditors and debt buyers, including new validation requirements. The Chief of the AG’s Consumer Protection Division will give an overview of the new regulations, their implementation to date, and enforcement priorities. This is a forum for creditors’ and debtors’ attorneys alike to address questions and concerns about the new regulations....
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CLE - Securities Enforcement 2014: An Inside Look at New Developments at the SEC, the USAO, and the Insider Trading Trials of the Year

04/09/2014
This program will review recent SEC / DOJ trends, explore strategies to take in the courtroom, and will provide helpful approaches for practitioners representing clients under investigation, when indicted, and during appeals....
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Bank General Counsel Panel Discussion

04/02/2014 - 05:00 PM to 07:30 PM
Please join us for a discussion of current issues concerning Massachusetts banks. Our distinguished panel of bank general counsels will discuss approaches to sourcing bank legal work, how the current business and regulatory environments have impacted Massachusetts banks and other issues. A reception will follow the panel discussion. ...
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2013 SEC Accounting and Auditing Enforcement Releases: Regulatory and Enforcement Issues in Context

04/01/2014 - 12:30 PM to 01:30 PM
Panelists will review findings, observations, and insights on SEC Enforcement Actions in 2013, Accounting Auditing and Enforcement Releases by the Commission and comment on notable trends. Comments will feature some of the more notable accounting and auditing releases during 2013 including: • Segment reporting • 102(e) rule interpretation • Materially overstated cash balances •...
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Microcap Stock Manipulation: How to Detect and Avoid it

03/25/2014 - 12:30PM to 1:30PM
This program will explore what microcap stock fraud really is, how to detect it, and how you can help steer your bank and broker-dealer clients through treacherous waters while still carrying legitimate transactions. The truth is, one person's microcap fraud might be another's legitimate capital formation structure. Come learn the difference, and how far things have evolved since the world portrayed in Leonardo DiCaprio's Wolf of Wall Street....
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Compliance Programs and Corporate Monitors

03/24/2014 - 04:00 PM to 06:00 PM
The first panel will focus on compliance programs with attention to the purpose of compliance programs, what they should include, how a good compliance can help if a company is investigated and how to successfully administer a compliance program. We will also discuss Compliance programs as part of Corporate Integrity Agreements and the government's view of post investigation compliance programs....
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CLE - Examination Priorities for 2014: From Regulators at the CFTC, FINRA, NFA, and SEC

02/27/2014
Don't miss this exclusive opportunity to learn about the SEC, CFTC, FINRA, and NFA's 2014 examination priorities straight from the regulators, and right on the heels of being announced!...
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Friending, Tweeting, and Connecting: Regulatory and Enforcement Issues Facing Broker-Dealers and Investment Advisors in a Social Media World

02/12/2014 - 12:30 PM to 01:30 PM
As a broker-dealer, registered representative, or registered investment advisor using social media, what are your direct and supervisory responsibilities? Hear the answers from our panelists. This brown bag lunch will discuss current FINRA Rules and Guidance on the use of social media with an opportunity to discuss real-world scenarios....
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The SEC Settlement Process: Legal and Practical Considerations

02/10/2014 - 12:30 PM to 01:30 PM
An interactive panel discussion with SEC attorneys and outside counsel regarding the SEC settlement process and the unique legal and practical considerations that influence it....
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Internal Investigations in Securities Matters

01/08/2014 - 12:30 PM to 01:30 PM
Internal Investigations can become necessary in a variety of ways: regulatory inquiries, whistleblower complaints, shareholder demands, or just a worried general counsel. This panel will review tips on how to account for all constituents and protect yourself and your client....
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