On Friday, October 4, the Catholic University of America Columbus School of Law (Catholic Law) hosted its Third Annual Conference on Securities Law, the subject of which was Developments in the Regulation of Financial Products. This event was made possible through the sponsorship and support of Catholic Law’s Securities Law Program (SLP), along with co-sponsors Dechert LLP, K&L Gates LLP, and Kirkland & Ellis LLP. Coordinated by SLP Director Jack W. Murphy, the conference was held in the Walter A. Slowinski Courtroom and virtually via Zoom, welcoming guests, professionals, and members of the Catholic Law community, including faculty, staff, and students. Eligible attendees also had the opportunity to earn continuing legal education (CLE) credits.
Dean Stephen Payne opened the event with welcoming remarks, followed by a brief introduction of the topic by Professor Murphy. The day featured five moderated panel discussions and a luncheon speaker, with panelists from the securities industry, the private bar, and the Securities and Exchange Commission, as well as Student Panelists representing the Securities Law Program.
Panel 1: Mutual Funds and ETFs
Moderator: Mark C. Amorosi '94, Partner, K&L Gates LLP
Student Panelist: Declan Scanlon, Securities Law Program
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
Panel 2: Offshore Funds and Investment Products
Moderator: Christopher Christian '98, Partner, Dechert LLP
Student Panelist: Robert Hill, Securities Law Program
Panelists: Ross Stoeterau, Head of International Legal, TIAA Nuveen; Sara Pak, Managing Legal Counsel, T. Rowe Price
Luncheon Speaker
Paul Cellupica, General Counsel, Investment Company Institute
Panel 3: Commodities, Derivatives and Digital Currencies (Cryptocurrencies)
Moderator: Mark Ruddy ’00, Partner, Ruddy & Gregory; Adjunct Professor – Derivatives Seminar, Digital Assets Seminar
Student Panelist: Connor Guerin, Securities Law Program
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
Panel 4: 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, Securities Law Program
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
Panel 5: Hedge Funds and Private Equity Funds
Moderator: Alpa Patel, Partner, Kirkland & Ellis
Student Panelist: Jessica Merino, Securities Law Program
Panelists: 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
The conference concluded with final remarks, expressing special gratitude to the Securities Law Program, Dechert LLP, K&L Gates LLP, and Kirkland & Ellis LLP for their collaboration in organizing the event. Appreciation was also extended to the panelists and attendees for their valuable contributions. Those present at the conference were then invited to the Louise H. Keelty and James Keelty, Jr. Atrium for a reception.