Federal agencies that supervise Financial Products have been pursuing an ambitious regulatory agenda – proposing and adopting new rules and regulations and actively pursuing enforcement actions. On September 29, 2023, experts from the private bar, the regulatory agencies, and the securities industry will discuss these developments at a Conference to be held at The Catholic University of America Columbus School of Law (Catholic Law).
Panels at the Conference will discuss developments in the regulation of Digital Currencies (Cryptocurrencies), Mutual Funds and ETFs, Hedge Funds and Private Equity Funds, Offshore Funds and Investment Products, Commodity Futures and Derivatives and Examinations and Enforcement.
This event is being sponsored by Catholic Law's Securities Law Program and is being co-sponsored by the law firms Dechert LLP, Goodwin Procter LLP and K&L Gates LLP. The program will be open to all attendees (subject to registration) at no cost. Attendees will have the option to attend in person or remotely through Zoom.
Accreditation of these programs for Continuing Legal Education (CLE) in Connecticut, New Jersey and New York are noted below. Persons interested in more information should e-mail Carol McHale, Associate Director of Conferences & Events, Columbus School of Law at mchale@cua.edu.
Conference Registration has closed.
Zoom attendees will receive a link via email on Thursday, September 28. The link will also be posted here on the conference website. To access the event via zoom click on this link:
When and Where:
The Conference will be held on September 29, 2023, from 9 a.m. to 5:15 p.m. in the William J. Byron S.J. Auditorium at the Columbus School of Law and will be followed by a reception in the Keelty Atrium. Attendees will have the option to attend in person or remotely through Zoom and to obtain CLE credit. Lunch will be provided for those attending the conference in person.
(Information regarding CLE credit in Connecticut, New Jersey, and New York is available here.)
Agenda:
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8:30 a.m. – 9:00 a.m.
Registration and Check-In -
9:00 a.m. – 9:15 a.m.
Welcoming Remarks
Jack W. Murphy, Director, Securities Law Program
Stephen C. Payne, Dean, Columbus School of Law -
9:15 a.m. – 10:25 a.m.
Examinations and Enforcement of the Federal Securities Laws (Panelists Bios)
Moderator:
James Catano '11, Partner, Dechert LLP; Adjunct Professor – Mutual Funds & Investment Advisers
Student Panelist:
Jocelyn Near, Securities Law Program, Class of 2024
Panelists:
Natasha V. Greiner '01, Interim Acting Co-Director, Division of Examinations, Securities and Exchange Commission
Jack Delaney '09, Chief Compliance Officer, Mason Investment Advisory Services, Inc.
Kevin Gleason, Chief Compliance Offiicer, Mainstay Funds and InexIQ ETFs
Anthony Kelly, Partner, Dechert LLP -
10:25 a.m. – 10:45 a.m.
Break -
10:45 a.m. – 12:00 p.m.
Registered Funds and ETFs (Panelists Bios)
Moderator:
Mark C. Amorosi '94, Partner, K&L Gates LLP
Student Panelist:
Giezi Rios, Securities Law Program, Class of 2024
Panelists:
Thoreau Bartmann, Co-Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission; Adjunct Professor – Mutual Funds & Investment Advisers
Matthew Thornton, Associate General Counsel, Investment Company Institute (ICI)
Amy Pershkow '99, Partner, VedderPrice -
12:00 p.m. – 1:00 p.m.
Lunch in Atrium -
12:30 p.m. – 12:50 p.m.
Luncheon Speaker
Commissioner Summer Mersinger '07, Commodity Futures Trading Commission -
1:00 p.m. – 2:00 p.m.
Digital Currencies (Cryptocurrencies) (Panelists Bios)
Moderator:
Paul J. Delligatti '06, Partner, Goodwin Procter LLP
Student Panelist:
Nick D’Addio, Securities Law Program, Class of 2024
Panelists:
Jonathan H. Hecht, Partner, Goodwin Procter LLP
Steve Humenik '99, Global Head of Derivatives/Legal, Crypto.com
Kevin Webb, Senior Special Counsel, Commodity Futures Trading Commission; Detailee, U.S. House Agriculture Committee -
2:00 p.m. – 3:00 p.m.
Hedge Funds and Private Equity Funds (Panelists Bios)
Moderator:
David W. Blass, Partner, Simpson Thacher & Bartlett LLP; Adjunct Professor – Advanced Securities Law
Student Panelist:
Catherine Cook, Securities Law Program, Class of 2024
Panelists:
Neal Prunier, Senior Director, Industry Affairs, Institutional Limited Partners Association (ILPA)
Rebekah Goshorn Jurata, General Counsel, American Investment Council (AIC) -
3:00 p.m. – 3:15 p.m.
Break -
3:15 p.m. – 4:15 p.m.
Offshore Funds and Investment Products (Panelists Bios)
Moderator:
Christopher Christian '98, Partner, Dechert LLP
Student Panelist:
Julia O’Toole, Securities Law Program, Class of 2024
Panelists:
Eva Mykolenko, Associate Chief Counsel, ICI Global
JP Saulnier, Associate General Counsel, GQG Partners -
4:15 p.m. – 5:15 p.m.
Commodity Futures and Derivatives (Panelists Bios)
Moderator:
Patrick McCarty '86, Of Counsel, Rudy Gregory PLLC; Adjunct Professor –Derivatives Seminar, Digital Asset Seminar
Student Panelist:
Kalkidan Ezra, Securities Law Program, Class of 2024
Panelists:
Daniel Waldman, Former Partner, Arnold & Porter
Peter Malyshev, Partner, Cadwalader
Eric Juzenas, Assistant Director, Office of Market Structure, Division of Trading and Markets, Securities and Exchange Commission
- Click here to download a zip file of all of the conference materials.
CLE Approval
This program is approved for CLE credit as noted below.
- Connecticut
Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. It is the opinion of this provider that this activity qualifies for up to 6.4 hours toward your annual CLE requirement in Connecticut, including 0 hours of ethics/professionalism. - New Jersey
This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 7.7 hours of total CLE credit. Of these, 0 qualify as hours of credit for ethics/professionalism, and 0 qualify as hours of credit toward certification in civil trial law, criminal trial law, workers compensation law, municipal court law, and/or matrimonial law. - New York
This transitional and non-transitional continuing legal education program has been approved in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 7.5 credit hours, of which 7.5 credit hours can be applied toward the areas of professional practice requirement.
CLE Paperwork: Program materials are available via a zip file here. For those requesting CLE credit, please use this link. You will need to sign-in and sign-out using the link. There will be alphanumeric codes announced during each panel for attendance verification. You must note these codes on the webform provided using the link to receive CLE credit.
By registering for this event, you submit your information to the event organizers The Catholic University of America, Dechert LLP, Goodwin Proctor LLP, and K&L Gates LLP (together the “Co-sponsors”). Your information will be used by the Co-sponsors to communicate with you to administer the event and further in line with our respective privacy notices accessed by clicking here: K&L Gates privacy notice; Goodwin privacy notice; Dechert privacy notice; and Catholic University's privacy notice.