Friday, February 8
9:00 am - 3:30 pm
Subotnick Center
250 Joralemon Street
Brooklyn
View video of the event here.
Co-sponsors
The Center for the Study of Business Law and Regulation
Brooklyn Journal of Corporate, Financial and Commercial Law
About the Symposium
Over the past decade, the compliance function in financial firms, in particular broker-dealers and investment advisers, has grown in size and importance. While this phenomenon is an integral part of life for compliance officers and legal practitioners who advise these firms, compliance has received relatively little attention from legal scholars. This symposium will provide the opportunity for financial and securities law scholars to evaluate and criticize, from their respective theoretical perspectives, the growing importance of compliance in financial firms, as well as comment upon particular compliance duties and issues. The conference includes noted legal practitioners, compliance specialists and regulators, who can assist the scholars in their reflection and offer their own perspectives and insights on the compliance phenomenon.
View the agenda
CLE Credit
This course provides 5.5 CLE credits in the State of New York. The credits are transitional and non-transitional and the category is Areas of Professional Practice. Partial credit will be given if you do not attend the entire program, however full payment is required. Refunds cannot be granted less than 24 hours before the start of the program.
Cost for CLE Credit
- $55 ($10 per credit) for Brooklyn Law School graduates who hold a current BLS Alumni Association Membership Card. If you would like to join, you can do so here, or call 718-780-7966 for more information.
- $220 ($40 per credit) for all others
Financial aid policy is available upon request. Please email cle@brooklaw.edu for more information.
The program is free for those who do not want CLE credit. All attendees, however, must RSVP.
Participants
Miriam H. Baer
Associate Professor of Law
Brooklyn Law School
William A. Birdthistle
Associate Professor of Law
Chicago-Kent College of Law, Illinois Institute of Technology
Barbara Black
Charles Hartsock Professor of Law and Director, Corporate Law Center
University of Cincinnati College of Law
Deborah A. DeMott
David F. Cavers Professor of Law
Duke Law School
James Fanto
Professor of Law;
Co-Director, Center for the Study of Business Law and Regulation
Brooklyn Law School
Tamar Frankel
Michaels Faculty Research Scholar;
Professor of Law
Boston University School of Law
Ira Goldberg '96
Managing Director, J.P. Morgan;
Head of Risk Assessment & Testing CIB, North America
Jonathan A. Gottlieb '92
Managing Director, Senior Counsel
RBS Securities Inc.
Jane A. Kanter '73
Partner
Dechert LLP
Roberta Karmel
Centennial Professor of Law
Brooklyn Law School
Arthur Laby
Professor of Law
Rutgers University School of Law–Camden
Donald C. Langevoort
Thomas Aquinas Reynolds Professor of Law
Georgetown University Law Center
Steve Lofchie
Partner
Cadwalader, Wickersham & Taft LLP
Jerry W. Markham
Professor of Law
Florida International University College of Law
Andrew S. Margolin '90
Managing Director and Associate General Counsel
Global Head of Cash Equities Legal & US Broker Dealer Regulation
Bank of America Merrill Lynch
James Park
Associate Professor of Law
Brooklyn Law School
Grace B. Vogel
Executive Vice President, Member Regulation
Financial Industry Regulatory Authority (FINRA)