-Current Perspectives on Equity Market Structure Proposals
-Fixed Income Market Transparency – public dissemination of UST, TRACE/MSRB 15 minutes to 1 minute, securities lending
-New Issues – managing conflicts of interest, etc.
MODERATOR:
Jennifer Morton, A&O Shearman
PANELISTS:
Phil Arnold, Goldman Sachs
Imran Javaid, Robinhood
Racquel Russell, FINRA
Robert Toomey, SIFMA
MODERATOR:
Preet Bharara, WilmerHale
SPEAKER:
Marshall L. Miller, Principal Associate Deputy Attorney General, U.S. Department of Justice
-What is AI Technology and How is it Impacting our Industry?
-Top Potential Uses of Generative AI Technology in Legal and Compliance
-Legal, Compliance and Supervisory Risks - privacy, employment, IP, etc.
-How to use AI While Mitigating Legal, Reputational and Financial Risks, Given the Need to Consider Individual Rights, Transparency, Discrimination and Bias, and Data Management.
MODERATOR:
Avi Gesser, Debevoise & Plimpton
PANELISTS:
Rosalynn Hsu Cormier, The Vanguard Group, Inc.
Mudit Gupta, EY
Anne Marie Palfrey, Deutsche Bank
Sofia Rahman, Citi
-Leading Through Change, Including Organizational Transformations, Global Expansion, Operational Maturity and Talent Development
-Managing Strategic Priorities and Objectives in a Continuously Evolving Litigation, Enforcement, Investigation and Political Landscape
-Driving a Culture of Ethics and Compliance
-Technology Advancement and Adoption, Including Responsible Use of AI, Harnessing the Opportunities and Mitigating Risks
-The Partnership with Outside Counsel and Support to Both Legal and Compliance Functions
MODERATOR:
Stephen Cohen, Sidley Austin LLP
PANELISTS:
Christina Dugger, JP Morgan Chase & Co.
Crystal Lalime, Barclays
Elaine Mandelbaum, Interactive Brokers
Carmine Venezia, BNY
- Navigating a Post-Chevron World
- Updates on Whistleblower Provisions Enforcement
- Impact of an Election Year on Litigation/Enforcement
- The Rising Use of Data and Artificial Intelligence in Litigation and Enforcement
- Document Collection and Preservation After the Off-Channel Communications Settlements
MODERATOR:
Akinyemi Akiwowo, Morgan Stanley
PANELISTS:
Ariel Gursky, Morgan Lewis
Osman Nawaz, U.S. Securities and Exchange Commission (SEC)
John Schoemehl, Wells Fargo
Alexander White, Bank of America
