This checklist includes key considerations regarding the U.S. New Partnership Audit Rules and their implications for the energy sector.
This short article provides an overview of judicial reorganization proceedings and regulatory changes in Brazil.
Learn which regulations may impact your normal course of doing business (e.g., how confidentiality clauses in settlement agreements with clients and employees could run afoul of FINRA rules and whistleblowing laws). Discuss unique challenges facing the financial sector on the interplay with social media and advertising, securities offerings, loan application communications, the Community Reinvestment Act and more. Explore how your organization may be impacted by non-financial focused regulation such as HIPAA, state ban-the-box rules and the JOBS Act.
Because financial industry databases are goldmines for hackers, the financial sector faces greater threats and higher regulatory demands and consequences than other industries. This interactive session will equip in-house counsel with the practical guidance and tools they need to respond when the inevitable happens. Attendees will work through a breach scenario and walk away from the program with a step-by-step outline of what to do when the data breach occurs (i.e., who to notify, remedial steps to take, etc.). Discuss best practices for information sharing, notification protocols and responding to the media. Explore the questions that should be considered before notifying the board and notifying the appropriate government agencies.
Discuss how and why regulators, such as the CFPB and the SEC, are mining big data, and how this trend can impact the financial industry. Learn what laws currently govern and impact big data, and what pitfalls to avoid when advising the business and making big data-related decisions. Understand what it means to be a "data broker” (for businesses that sell or analyze big data). Receive a checklist for essential big data policies, procedures and guidelines. Discuss the growing number of internet-connected wearables and industrial sensors, the questions they raise about data privacy, and the security of parties who aggregate, share, sell or rely upon this information.
More and more, boards of directors in the financial sector are required to assume responsibility for the organization’s risk management, a responsibility edging ever closer to actual managerial responsibility. This interactive session will provide in-house counsel with the tools they will need to educate and prepare the board to take on this responsibility. Discuss increased responsibility of the board in the financial sector in the areas of risk management — edging closer to a managerial responsibility. Learn how to handle risk management within the organization (i.e., responsibilities of parties, reporting lines, etc.) and identify new risks on the horizon. Understand what boards wish to hear: what information to and not to share with your board, and the risks associated with doing so. Learn how the new SEC and FINRA reporting requirements should impact your board advice regarding cyber threats. Discuss the Board's role in managing operations in emerging markets.
This is a checklist used by panelists during this session.
This Quick Overview addresses the legal adversities and the impacts faced by the supermarket industry under Brazilian legislation that should be carefully analyzed not only by foreign investors, but also by domestic investors on a daily basis.
What every financial services industry in house counsel needs to know about effective handling of regulatory matters and regulatory expectations. Provide an overview of trends in consumer finance regulation, including the CFPB, and other major federal and state banking regulators. Discuss recent rules, enforcement actions, and regulatory priorities of consumer finance regulators and their applicability to the financial services industry. Compare the consumer finance regulatory regime with other financial industry regulation.
Activist investor campaigns have reached record numbers in recent years and have become increasingly organized and costly to the targeted companies. Through case study analysis of several recent campaigns, this program will go in-depth on best practices for companies to follow before and when an activist comes knocking, including: What went right in recent campaigns? What went wrong? What were the end results and what could have been done differently? What has changed from an investor relations perspective since the activist campaign? What are some investor relations takeaways from what the companies did/didn’t do? What are some general best practices and strategies in these situations that can be implemented proactively, during a campaign and post-mortem?What defenses does a company have against a campaign and/or a proxy fight? How do these case studies demonstrate any larger trends in activist campaigning? What types of attributes/actions might draw activists’ attention, based on these recent campaigns?