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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The SEC Enforcement Division's Asset Management Unit – Priorities and Recent Developments

12/17/2013 - 12:30 PM to 02:00 PM
Kevin M. Kelcourse, Assistant Director of the SEC Enforcement Division's Asset Management Unit, will provide an update on the Unit's priorities and recent developments....
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Current SEC Enforcement Issues and Priorities: Thoughts of the Staff of the Boston Regional Office

12/12/2013 - 12:30 PM to 01:30 PM
With a new Chair of the SEC and a new Director of the Boston Regional Office, the SEC continues to develop enforcement programs such as specialized units with expertise in complex, high priority areas and identification of high-risk areas for further examination and investigation to protect investors and promote the integrity of the marketplace. Find out how the Boston Regional Office is undertaking these and other efforts to identify wrongdoing in the marketplace and incentivize individuals and companies to cooperate and assist with investigations....
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BBA Roundtable With Paul Levenson, Head of SEC's Boston Office

12/10/2013 - 04:00 PM to 06:00 PM
This roundtable discussion with recently appointed SEC Boston Office Director Paul Levenson offers an opportunity for those who practice before the SEC's Boston office to engage in a public discussion about the SEC's policies and practices, possible areas of future focus, and suggestions for maximizing the effectiveness of the SEC's regulatory and enforcement mission....
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2013 U.S. - China Legal Exchange

12/06/2013 - 08:30 AM to 04:30 PM
This December, the U.S. Department of Commerce and China’s Ministry of Commerce (MOFCOM) will co-host the 18th U.S.-China Legal Exchange, a unique forum that allows the U.S. business, legal, and academic communities across the country to hear directly from Chinese officials about new and important developments in China’s commercial legal and regulatory landscape....
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Meet the Bank Regulators’ Lawyers

11/22/2013 - 12:00 PM to 01:00 PM
In this panel discussion, senior bank regulatory attorneys from the Massachusetts Division of Banks, Federal Deposit Insurance Corporation, and Federal Reserve Bank of Boston will share their perspectives on a range of matters affecting New England banks, including enforcement trends. Please join the Banking Committee for this unique opportunity to "meet the bank regulators' lawyers"....
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Effective Use Of National Coordinating Counsel In Insurance Coverage Disputes

11/12/2013 - 12:30 PM to 01:30 PM
This presentation will provide practical pointers for effective use of national coordinating counsel in insurance coverage disputes. Coordinating counsel can assist in advancing the client's broad strategic objectives, developing a coordinated, global strategy for related lawsuits, coordinating information gathering and sharing, developing factual and legal defenses, maintaining consistent positions in multiple litigations, and reducing costs....
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Money Market Reform

11/06/2013 - 12:00 PM to 01:00 PM
In this brown bag lunch, our panel of experts will explore the current landscape of the money market fund industry, analyze regulatory reforms being contemplated by the SEC, and provide insight and perspective on the potential effects the reforms could have on the mutual fund industry....
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Basel III Update

10/29/2013 - 12:00 PM to 01:00 PM
Join us for an update on implementation of the Basel III capital standards and explanation of how the new rules will affect banking institutions of all sizes....
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The State of the D&O Market: Litigation and Coverage/Pricing Trends

10/22/2013 - 12:30 PM to 01:30 PM
Three industry specialists – Underwriter, Broker and Litigator will discuss their "view of the market." This discussion will be helpful to every practitioner who is either litigating cases funded by D&O insurance, is asked by a client or Board member to review the company's D&O policy or is involved in D&O coverage litigation. They will share some "cutting edge" coverage offerings, pricing models and litigation trends....
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CLE - Commodity Futures Regulatory Roundtable: NFA and CFTC Enforcement

10/02/2013
Join us for an in-depth analysis of the current enforcement regulatory priorities from the Commodity Futures Trading Commission (CFTC) and The National Futures Association (NFA). A reception will follow. ...
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Financial Services Section Fall Social

09/17/2013 - 05:30 PM to 07:30 PM
Join the Financial Services Section as they kick off the 2013-2014 program year with a Fall Welcome Reception. Enjoy tasty appetizers & beverages while meeting and greeting with your fellow Financial Services Section members....
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Climate Change Insurance Coverage Issues

09/10/2013 - 12:30 PM to 01:30 PM
Lindene Patton, Chief Climate Change Product Officer, Zurich Insurance Group, and co-author of Climate Change And Insurance, will address: (1) climate change-related litigation and regulation; and (2) insurance coverage issues arising from those exposures....
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Barbarians At The Digital Gate: Cyber Risk Liability And Insurance Coverage Issues

06/11/2013 - 01:00 PM to 01:30 PM
Hardly a day passes without a new report of a data security breach. A panel of cyber security experts will discuss the skyrocketing number and costs of data security breaches, efforts to prevent, mitigate, and respond to breaches, criminal prosecution of cyber-related crimes, and the use of forensic consultants in responding to data security incidents. The panel will also address insurance coverage for data security breaches, including issues arising under cyber risk policies, as well as commercial general liability and other traditional insurance policies....
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Financial Services Section Spring Social & Networking Event

05/23/2013 - 05:30 PM to 07:30 PM
Come celebrate the season and meet your fellow financial services lawyers at the Financial Services Section's annual Spring Wine & Cheese Networking Reception. Hear the nationally famous FRB Legal Division Alumni duet of Jim Scott (formerly of Morgan Stanley) and Con Hurley (formerly of the Secura Group) perform their cover of that old Wall Street favorite, Hey Liz, We're Just Too Big to Jail!...
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CLE - Modification, Loss Mitigation and Other Means to Prevent Foreclosure

04/24/2013
This is not your average Loss Mitigation seminar. This in-depth program will address current legislation, the interplay between modification and Chapter 13, practical tips regarding the modification process from the borrower's, lender's, and the non-profit advocate's perspective, as well as what other means are available to avoid foreclosure. ...
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