Market Regulation Series: When Your Regulators Are Your Adversaries

09 April 2014 Chicago, IL Past Event

Location

Foley & Lardner LLP
321 North Clark Street
Suite 2800
Chicago, IL

Contact Information

John Vicars
jvicars@foley.com

Agenda

8:15 a.m. – 8:45 a.m.
Registration and Breakfast

8:45 a.m. – 12:15 p.m.
Program

12:15 p.m. – 1:00 p.m.
Boxed Lunch and Networking
Please join us for a panel discussion hosted by Foley’s Securities Enforcement & Litigation Practice. This program is the latest in Foley’s continuing Market Regulation Series, which has earned a reputation for providing a stimulating forum for industry thought leaders. The panel will feature industry professionals and Foley’s seasoned attorneys discussing a variety of current industry topics. The format is structured to allow a give-and-take on these issues and to provide in-depth discussion.

Topics to be discussed include:

  • Due Process: Even Regulators Must Comply
    • Moderator 
      Thomas P. Krebs, Partner, Securities Enforcement & Litigation Practice, Foley
    • Panelists 
      Patricia L. Levy, General Counsel, DRW Trading Group 
      Stephen P. Bedell, Partner, Securities Enforcement & Litigation Practice, Foley 
      David J. Barclay, General Counsel & Vice President, Equitec Group
  • “Layering On” Issues: When Regulators Lay It on Too Thick
    • Moderator 
      Ellen Wheeler, Partner, Securities Enforcement & Litigation Practice, Foley
    • Panelists 
      Kathryn M. Trkla, Partner, Securities Enforcement & Litigation Practice, Foley 
      Melissa Andrews, General Counsel, R.J. O’Brien & Associates, LLC 
      Julie Dematteo, Managing Director, R.J. O’Brien & Associates, LLC
  • Adversarial Minefields
    • Moderator 
      Thomas P. Krebs, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP
    • Panelists 
      Stephen P. Bedell, Partner, Securities Enforcement & Litigation Practice, Foley 
      Maureen C. Guilfoile, Managing Director and General Counsel, ABN AMRO Clearing Chicago LLC 
      Patricia Donahue, Chief Compliance Officer & Associate General Counsel, Rosenthal Collins

There is no cost to participate in this program, but pre-registration is required. Please contact John Vicars at jvicars@foley.com for more information.

Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of three General credits. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must be in attendance on the date of the event; credit may not be obtained by viewing and/or listening to a program recording after the event.

Market Regulation Series: When Your Regulators Are Your Adversaries

Location

Foley & Lardner LLP
321 North Clark Street
Suite 2800
Chicago, IL

Contact Information

John Vicars
jvicars@foley.com

Agenda

8:15 a.m. – 8:45 a.m.
Registration and Breakfast

8:45 a.m. – 12:15 p.m.
Program

12:15 p.m. – 1:00 p.m.
Boxed Lunch and Networking