Systemic Risk and Asset Managers: Recent Developments

07/16/2015 - 2:00PM to 7:00PM
The program will provide an overview of current regulatory initiatives to address systemic risk issues posed by asset managers and a debate on the extent to which asserted systemic risk concerns are warranted...
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An Introduction to Accounting for Attorneys

07/01/2015 - 05:30 PM to 07:00 PM
Get up to date with key accounting topics prevalent in the business world today. Our panel will discuss how to perform basic financial statement analysis and draw meaningful conclusions. You will also learn how a company collects information and produces financial statements....
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Financial Services Year End Celebration

06/18/2015 - 5:00PM to 7:00PM
Please join the Financial Services Section for its Year End Reception to celebrate another successful program year! Socialize with section members over drinks and light hors d'oeuvres before we break for the summer....
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The Current State of Secondary Actor Liability Under the Securities Laws: Auditors, Vendors, Aiders, Abettors, Oh My!

06/10/2015 - 12:30PM to 1:30PM
Learn whether the law has shifted on secondary actor liability claims against accountants, auditors, vendors, clearing brokers, and others who are often the target for this type of claim. ...
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Fundamentals of Banking Law

06/03/2015 - 9:00AM to 06/05/2015 - 5:00PM
Boston University School of Law and the University of California at Berkeley School of Law are pleased to announce their sponsorship of Fundamentals of Banking Law (formerly Banking Law Basics), an intensive 2 1/2 day program designed to familiarize participants with the basics of bank regulatory law, including the critical policies, concepts and regulations that have shaped over 150 years of banking law from the passage of the 1863 National Bank Act to the present. This course offers a review of the fundamental themes of banking regulation and an introduction to what has changed since the financial crisis and the 2010 Dodd-Frank Act and Basel III capital rules....
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CLE - ERISA Fiduciary Developments

06/02/2015 - 3:00PM to 7:00PM
Learn about the latest audit, litigation and operational developments on retirement plan fees. Hear from two expert panels discussing the most recent developments in ERISA fiduciary guidance....
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Meet the Banking GCs

05/13/2015 - 3:00PM to 7:00PM
Join the banking committee for a panel discussion with the general counsels of three Boston-area banks. Learn more about the general counsels and their roles within the banks. ...
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CLE - Recent Developments in Delaware Law

04/30/2015 - 3:00PM to 7:00PM
Learn about the recent developments in Delaware law. Our panel, including leading Delaware counsel, will cover the hot topic decisions from the Delaware courts that are influencing corporate law and how these decisions will effect you and your practice....
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CLE - Securities Enforcement 2015

04/09/2015 - 3:00PM to 7:00PM
This program will include three panels featuring attorneys from the Securities & Exchange Commission, the U.S. Attorney's office, and private practice. The panelists will review recent SEC / USAO 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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Breaking into Banking

03/26/2015 - 12:30PM to 1:30PM
Interested in breaking into the banking field? This program will provide an informal discussion regarding the future of the banking bar in Boston. Attendees will learn of opportunitites for establishing oneself as a lawyer in the financial services community in Boston, as well as obstacles. ...
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CLE - Understanding the Massachusetts Banking Law Recodification

03/19/2015 - 3:00PM to 7:00PM
Our panelists will not only cover the basics of the statues but also the pragmatic issues that arise for practitioners....
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ERISA Litigation and Fiduciary Liability - What to Expect in 2015

03/10/2015 - 12:30PM to 1:30PM
Learn what to expect from recent cases and pending ERISA litigation, and best strategies to avoid such litigation. Among the cases the panel will examine are Fifth Third Bancorp v. Dudenhoeffer, in which the Supreme Court in one day set aside a defense strategy that had been successfully used for years, as well as Tibble v. Edison, heard by the Supreme Court on February 24th (decision pending as of this writing)....
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Insider Trading After the 2nd Circuit Decision in Newman: Is it Back to the Future?

03/04/2015 - 12:30PM to 1:30PM
This program will analyze the recent 2nd Circuit decision in U.S. v. Newman and how it differs from recent case law concerning insider trading. Panelists will provide insight and tips concerning both civil and criminal implications of the decision....
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SEC and FINRA Examination Priorities for 2015

02/05/2015 - 3:00PM to 7:00PM
Hear straight from the SEC and FINRA regulators about the things they will be focused on in the upcoming year....
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OFAC Regulation of Portfolio Management and Custody

01/23/2015 - 12:00PM to 1:00PM
This brown bag will examine the range of practical questions and challenges associated with the application of economic sanctions law to the activities of fund and separate account portfolio management. Topics will include: The different layers of investment prohibitions under the four Directives in the Ukraine-Related Sanctions Regulations; How to apply different types of OFAC country sanctions program to U.S. investment activities; Whether and how sanctions programs can apply to offshore subsidiaries and affiliates of U.S. asset managers; Understanding how the “facilitation” doctrine under the International Emergency Economic Powers Act (IEEPA) can impact investments in securities issued by “third country” companies; ...
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Basic Commercial Coverage Issues

01/16/2015 - 12:30 PM to 01:30 PM
Commercial insurance is key to managing the risks of operating a successful business. It is important for attorneys to know how to read a commercial insurance contract and how these policies relate to particular coverage questions. This program will equip attendees with a better understanding of the things to watch out for as to coverage and risk. ...
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Parallel Proceedings by the SEC and DOJ: How to Avoid a Collision in Two-Way Traffic

01/14/2015 - 12:30PM to 1:30PM
The program will provide insight and tips to those lawyers whose clients face simultaneous proceedings or investigations by both the US Attorney's Office and the SEC....
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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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Section 16 Compliance in Light of SEC Enforcement Actions

11/19/2014 - 12:00PM to 1:00PM
With its recent enforcement actions, the SEC has brought Section 16 compliance to the forefront for issuers and investors. This program will discuss these recent SEC enforcement actions, review Section 16 compliance and provide tips to issuers and investors to use in reviewing and updating their compliance programs....
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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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Fraud on the Market after Halliburton

09/29/2014 - 12:30PM to 1:30PM
Learn about the Supreme Court's recent decision to uphold the "fraud on the market" presumption in securities class actions, while at the same time further opening the door to challenges to class certification by allowing for rebuttal of the presumption in addition to those featured in other recent decisions in Wal-Mart Stores v. Dukes and Comcast v. Behrend....
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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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