‘Tougher’ Volcker Rule Explored
Overview:In a two hour live webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss the significant and latest issues surrounding the final rules on proprietary trading also known as Volcker Rule.
Key issues included that will be covered in this course are:
- Volcker Rule – an Overview
- Emerging issues
- Scope and Exemption of the final Volcker Rule
- Implementation and conformance to the final rule
- Latest regulatory updates
- Current Status and Who is Covered
- Proprietary Trading Prohibition
- Covered Funds Prohibition
- Compliance Programs
Who Should Attend:
- Bank Regulators
- Bank Presidents
- Bank Owner/Executives
- Financial Institutions’ Executives
- Bank Supervisors
- Compliance Officers
- Chief Risk Officers
- Banking Regulation Lawyers
- Banking Lawyers & Consultants
- Finance Lawyers
- Senior Management
- And other Related/Interested Professionals
Bridget Moore’s practice focuses on securities enforcement, internal investigations and white collar defense. In particular, she helps clients resolve enforcement matters brought by the Securities and Exchange Commission (SEC).
Prior to joining Baker Botts in May 2003, Ms. Moore worked as a staff attorney in the Division of Enforcement at the SEC. While at the SEC, she conducted investigations involving the antifraud provisions of the federal securities laws, proxy violations, insider trading and various disclosure and reporting violations. In addition, Ms. Moore participated in trials centering on the fraudulent promotion of stocks, earning her the Enforcement Division Director’s Award for Trial Work.
Ms. Moore was short listed as one of five national finalists for the “Up and Coming Regulatory Lawyer of the Year” award presented by Chambers USA (2012).
Bridget Moore’s practice focuses on securities enforcement, internal investigations and white collar defense. In particular, she helps clients resolve enforcement …
Adam Gale is the Co-Chair of Mintz Levin’s Investment Funds Group and is an expert on fund formation and regulatory and compliance issues for private equity funds, real estate funds and hedge funds, and also specializes in regulatory and compliance issues for banks, broker-dealers and registered investment companies. He is a frequent writer and speaker on regulatory issues, including issues relating to the Dodd-Frank Act and the Volcker Rule. Adam represents established fund managers and start-up entities, as well as a number of major investors into funds. He also represents both large and small U.S. and foreign banking institutions on U.S. bank regulatory issues. Adam was previously Senior Counsel at The Bank of New York (now BNY Mellon) and has advised the Office of the Comptroller of the Currency on issues relating to the Volcker Rule.
Adam Gale is the Co-Chair of Mintz Levin’s Investment Funds Group and is an expert on fund formation and regulatory …
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
NASBA Field of Study:
NY Category of CLE Credit:
2.0 CPE (Not eligible for QAS (On-demand) CPE credits)
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About Baker Botts
Baker Botts is an international law firm with 700 lawyers and a network of 15 offices around the globe. Based on our broad experience and our in-depth knowledge of our clients’ industries, we are recognized as a leading firm in the energy, technology and life sciences sectors. Baker Botts has earned the privilege of working on some of the most fascinating and complex legal matters in the world. Throughout our 170-year history, we have provided creative and effective legal solutions for our clients while demonstrating an unrelenting commitment to excellence.
About Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Mintz Levin is an internationally recognized AmLaw 100 firm with exceptional depth in a broad range of practice areas. Our team of approximately 500 attorneys serves clients worldwide. Our attorneys represent both well-established and start-up funds, banking institutions, Fortune 500 and emerging growth companies. Applying a cross-disciplinary team approach, we are involved in many leading industries, including: Life Sciences; Health Care; Financial Services; Energy and Clean Technology; Insurance; Real Estate; Retail & Consumer Products; and Education. In addition to our seven US office locations in Boston, Los Angeles, New York, San Diego, San Francisco, Stamford, and Washington, we have an office in London and a liaison office in Israel.