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The Future of Financial Regulation
Thursday, May 1, 2008
8:30AM: Registration
9:00AM–5:00PM
Venue: Cadwalader, Wickersham & Taft LLP
One World Financial Center, 39th Floor
New York CIty
NY CLE credit will be provided.
Sponsored by the Brooklyn Law School
Dennis J. Block Center for the Study of International Business Law
Moderated by Steven Lofchie, Cadwalader, Wickersham & Taft LLP
Market events have called into question the structure and performance of the U.S system of supervision and regulation of financial institutions and financial services. The present system has maintained its fundamental structure since the 1930's, but has gradually increased in complexity as legislators and regulators have responded to emerging problems by adopting additional laws and rules. The growth through accretion of our regulatory structure may no longer be good enough. Recently significant questions have been raised about whether the U.S. structure is well designed to foster growth and competitiveness, while at the same time protecting investors and preventing systemic breakdowns. Now is the time to ask whether we can achieve better results by reformulating the structure.
We invite you to join our distinguished panelists and industry leaders for a full-day program on the future of financial regulation in the United States.
Agenda
9:00AM–9:15AM: Opening Remarks
Roberta Karmel, Centennial Professor of Law, Brooklyn Law School
9:15AM–10:15AM: What are the Purposes of Regulation?
Panelists: Sharon Brown-Hruska, Vice President, NERA Economic Consulting; Marjorie E. Gross, General Counsel, New York State Banking Department; Roberta Karmel, Centennial Professor of Law, Brooklyn Law School; Tony Leitner, Consultant; Rex A. Staples, General Counsel, North American Securities Administrators Association, Inc.; Richard Walker, General Counsel, Deutsche Bank
10:15AM–11:15AM: U.S. as Just Part of the World
Panelists: Gary A. DeWaal, General Counsel, Newedge; Jonathan Hughes, Global General Counsel, Barclays Capital; Marlon Paz, Senior Counsel to the Director, Division of Trading and Markets, U.S Securities and Exchange Commission; LaBrena Jones Martin, U.S. General Counsel, Royal Bank of Canada; Edward Knight, General Counsel & Chief Regulatory Officer, NASDAQ OMX Group; David Schraa, Director of Regulatory Affairs, Institute of International Finance; Richard Walker, General Counsel, Deutsche Bank; Betty A. Whelchel, General Counsel, BNP Paribas - CIB, North America
11:15AM–11:30AM: Break
11:30AM–12:30PM: Role of Sanctions and Enforcement
Panelists: Joseph P. Borg, Director, Alabama Securities Commission; Ray Dorado, Deputy General Counsel, The Bank of New York Mellon; Eric F. Grossman, Managing Director and Head of Litigation, Morgan Stanley; Douglas Koff, Partner, Cadwalader, Wickersham & Taft LLP; Susan L. Merrill, Executive Vice President and Chief of Enforcement, FINRA; Walter G. Ricciardi, Deputy Director of the Division of Enforcement, U.S. Securities and Exchange Commission; Paul A. Weissman, Staff Vice President, Compliance at Schering-Plough Corporation
12:30PM–1:30PM: Lunch
1:30PM–2:30PM: Separation of Banking, Securities, Futures and Commerce
Panelists: Sharon Brown-Hruska, Vice President, NERA Economic Consulting; Ray Dorado, Deputy General Counsel, The Bank of New York Mellon; Lourdes Gonzalez, Assistant Chief Counsel for Sales Practices, U.S. Securities and Exchange Commission; Marjorie E. Gross, General Counsel, New York State Banking Department; Douglas Landy, Special Counsel, Cadwalader, Wickersham & Taft LLP; Michael A. Macchiaroli, Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission; Joanne Moffic-Silver, Executive Vice President, General Counsel & Corporate Secretary, Chicago Board Options Exchange
2:30PM–3:30PM: Regulation of Funds
Panelists: Barry P. Barbash, Partner, Willkie Farr & Gallagher LLP; Marcy Engel, Chief Operating Officer & General Counsel, Eton Park Capital Management, L.P.; Sharon Brown-Hruska, Vice President, NERA Economic Consulting; Sebastian Mallaby, Director, Greenberg Center for Geoeconomic Studies, The Council on Foreign Relations; Michael B. Rogers, Banc of America Prime Brokerage; Paul N. Roth, Partner, Schulte Roth & Zabel LLP; Karl J. Wachter, General Counsel, Diamond Lake Investment Group
3:30PM–3:45PM: Break
3:45PM–4:45PM: Role of SROs, Trade Associations and the States
Panelists: John G. Gaine, Special Advisor, Managed Funds Association; Marjorie E. Gross, General Counsel, New York State Banking Department; Joanne Moffic-Silver, Executive Vice President, General Counsel & Corporate Secretary, Chicago Board Options Exchange; Scott H. Rothstein, Executive Director, New York State Commission to Modernize the Regulation of Financial Services; David Schraa, Director of Regulatory Affairs, Institute of International Finance; Rex A. Staples, General Counsel, North American Securities Administrators Association, Inc.; Grace B. Vogel, Executive Vice President, Member Regulation, FINRA
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