Sponsored by Global Relay

Karen O'Toole, Fidelity Investments

Moderator:

Saima Ahmed, SIFMA

Speaker: 

Michael Solomon, FINRA

-Reg BI Updates

-SEC Private Fund Advisers Rule – What’s next after 5th Circuit decision?

-The Outsourcing Rule

-Recent Supreme Court Decisions in: (1) Securities and Exchange Commission v. Jarkesy, and (2) Loper Bright Enterprises v. Raimondo

Moderator:

Alexander White, Bank of America

Panelists:

Elizabeth Hill, LPL Financial 
Peter Isajiw, King & Spalding

Edward Rosenblatt, Wells Fargo 

Joseph Savage, FINRA

-The potential impact of recent Supreme Court decisions on the financial services industry.

-Regulatory developments in the aftermath of the failures of Silicon Valley Bank and Signature Bank.

-Current bank regulatory supervisory themes and priorities.

-Recent bank regulation changes and updates on proposed rules, including Basel Endgame, resolution planning, long term debt and bank M&A guidelines.

Moderator:

Phill Wertz, Bank of America

Panelists: 

Jennifer Knox, Wells Fargo
Edward O’Keefe, Moore & Van Allen
Zachary Stone, Truist

- Knowing Your Audience
- Prioritization: Tips for What To Cover (and What to Leave Out)
- Written vs. Oral Communications: Different Considerations
- Preparation and Organization
- Gaining Experience: Practice Makes Perfect

Moderator: 

Kory Wilmot, Citi

Panelists: 

Susan Axelrod, Bank of America
John Ayanian, McGuireWoods
Kate Ring, Stash

Sponsored by Moore & Van Allen

- Trends and Outcomes
- Aiding and Abetting Liability Basics
- FINRA Regulatory Notice 24-03 and Its Impact on Arbitrations
- ESG Litigation Trends in the Wake of Enforcement Actions
- What is a Security? Understanding Reves and Howey
- Artificial Intelligence: Best Practices and Pitfalls in Litigation, including Research and Drafting

Moderator:

Michael K. Freedman, LPL Financial 

Panelists: 

Rick Davis, Maynard Nexsen
Courtney Devon Taylor, Hogan Lovells

Yin Zhou, Bank of America

- Surveillance Strategies

- Risk Assessment and Testing

- Off-Channel Communications

- RSL and Remote Inspections Pilot

Moderator:

Marla Moskowitz-Hesse, Wells Fargo 

Panelists:  

Tara Gilchrist, LPL Financial 

Takako Okada, Charles Schwab 
Corin R. Swift, Sidley Austin LLP

Sponsored by King & Spalding LLP

- What Is (and Isn’t) AI?

- Regulatory & Legal Environment

- Uses and Misuses

- Best Practices for Controls and Oversight

Moderator:

Tasha Branford, Fidelity Investments

Panelists:

Felix Abu, Robinhood

Scott Jarrell, Ernst & Young

Tiffany Smith, WilmerHale

Moderator:

Lara Shalov Mehraban, Sidley Austin LLP

Speaker: 

Nekia Hackworth Jones, SEC

Mark Seffinger, SoFi Invest

Sponsored by Smarsh