The area of financial regulation continues to evolve rapidly as regulators and the financial industry grapple with developments relating to Artificial Intelligence, offering and trading in Cryptocurrencies, ESG compliance and dozens of other changes. Financial system regulators have been proposing and adopting rules and rule amendments at an unprecedented pace as they try to respond to these developments. Lawyers and compliance officers are tasked with keeping up with changes and developments so that they can advise and help their clients comply with ever-changing requirements.
On Friday, October 4, 2024, Catholic Law’s Securities Law Program (SLP) will sponsor “Developments in the Regulation of Financial Products”, SLP’s Third Annual Conference. The conference will feature panels of experts representing the private securities bar, the regulatory agencies and the financial industry. Co-sponsored by Dechert LLP, K&L Gates LLP, and Kirkland & Ellis LLP, the conference is directed toward a broad audience from within the legal community and will offer both in-person and remote options for attendance. An application will be made to enable attendees to earn Continuing Legal Education (CLE) credits. A luncheon, hosted in the law school’s Louise H. Keelty and James Keelty, Jr. Atrium and marked by a lunchtime address, will be provided to those attending in person.
Persons interested in more information should e-mail Renee Stack, Associate Director of Conferences & Events, Columbus School of Law at rasmussenr@cua.edu.
When and Where:
The Conference will be held on October 4, 2024, from 9:00 a.m. to 5:15 p.m. in the Walter A. Slowinski Courtroom 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. Lunch will be provided for those attending the conference in person.
(Information regarding CLE credit will be forthcoming)
Agenda:
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8:30 a.m. – 9:00 a.m.
Registration and Check-In - 9:00 a.m. – 9:10 a.m.
Welcoming Remarks
Stephen C. Payne, Dean, The Catholic University of America Columbus School of Law
Jack W. Murphy, Director, Securities Law Program - 9:10 am – 10:25 am
Mutual Funds and ETFs
Moderator:
Mark C. Amorosi '94, Partner, K&L Gates LLP
Student Panelist: Declan Scanlon
Panelists:
Kaitlin C. Bottock, Co-Chief Counsel, Division of Investment Management, Securities and Exchange Commission
Matthew Thornton, Associate General Counsel, Investment Company Institute
Amy Pershkow ’99, Partner, VedderPrice - 10:25 am – 10:45 am
Break - 10:45 am – 12:00 pm
Offshore Funds and Investment Products
Moderator:
Christopher Christian '98, Partner, Dechert LLP
Student Panelist: Robert Hill
Panelists:
Ross Stoeterau, Head of International Legal, TIAA Nuveen
Łukasz Marek Chyla, Coordinator of the CUA-JU American Law Program Conference, Department of Private Business Law, Jagiellonian University - 12:00 p.m. – 1:00 p.m.
Lunch in Atrium
- 12:30 p.m. – 12:50 p.m.
Luncheon Speaker: Paul Cellupica, General Counsel, Investment Company Institute
- 12:30 p.m. – 12:50 p.m.
- 1:00 p.m. – 2:30 p.m.
Commodities, Derivatives and Digital Currencies (Cryptocurrencies)
Moderator:
Mark Ruddy ’00, Partner, Ruddy & Gregory; Adjunct Professor – Derivatives Seminar, Digital Asset Seminar
Student Panelist: Connor Guerin
Panelists:
Steve Humenik '99, Global Head of Derivatives/Legal, Crypto.com
Kevin Batteh, Partner, Delta Strategies Group
Eric Juzenas, Associate Director, Office of Market Supervision, Division of Trading and Markets, U.S. Securities and Exchange Commission - 2:30 p.m. – 3:45 p.m.
Examinations and Enforcement of the Federal Securities Laws
Moderator:
James Catano '11, Partner, Dechert LLP; Adjunct Professor – Mutual Funds & Investment Advisers
Student Panelist: Hannah Munro
Panelists:
Jack Delaney ’09, Chief Compliance Officer, Mason Investment Advisory Services Inc.
Kenneth C. Fang, Associate General Counsel, Investment Company Institute
Anthony Kelly, Partner, Dechert LLP
Neil Lombardo, Senior Special Counsel, Division of Investment Management, U.S. Securities and Exchange Commission - 3:45 p.m. – 4:05 p.m.
Break - 4:05 p.m. – 5:20 p.m.
Hedge Funds and Private Equity Funds
Moderator:
Alpa Patel, Partner, Kirkland & Ellis
Student Panelist: Jessica Merino
Panelists:
Marian Fowler, General Counsel and Chief Compliance Officer, Thrive Capital
Jennifer Kim-Gagne, Partner, Kirkland & Ellis
Melissa R. Harke, Senior Special Counsel, Office of Chief Counsel Division of Examinations, U.S. Securities and Exchange Commission
By registering for this event, you submit your information to the event organizers The Catholic University of America, Dechert LLP, K&L Gates LLP, and Kirkland & Ellis 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: Kirkland & Ellis privacy notice; K&L Gates privacy notice; Dechert privacy notice; and Catholic University's privacy notice.