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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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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