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    02.08.13 Symposium: The Growth and Importance of Compliance in Financial Firms: Meaning and Implications

    Friday, February 8
    9:00 am - 3:30 pm

    Subotnick Center
    250 Joralemon Street

    View video of the event here.

    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 for more information.

    The program is free for those who do not want CLE credit. All attendees, however, must RSVP.

    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
    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
    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)

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