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    03.25.14 The Compliance Role in Financial Institutions: A Case Study: How Dodd-Frank is Changing the Municipal Securities Industry
    Center for the Study of Business Law and Regulation
    Tuesday, March 25
    Panel: 6:00 – 7:00 pm 
    Networking Discussion Groups: 7:00 – 8:30 pm
    Refreshments will be served after the panel presentation.

    Feil Hall, Forchelli Center 
    205 State Street

    RSVP online.

    Presented by the Center for the Study of Business Law & Regulation and the Career Center

    James Fanto, Gerald Baylin Professor of Law, Brooklyn Law School

    David Levy `83, Managing Director, Corporate Compliance, U.S. Bancorp
    Howard Wynn `85, Managing Director, RBS Global Banking & Markets
    Leon J. Bijou `81, Senior Corporate Counsel, U.S. Bank Municipal Securities Group 

    The once sleepy field of compliance has emerged and is the hottest topic on Wall Street. Our panelists will examine the role of a Compliance Department in today’s financial institutions in the context of a significant change in the regulatory environment. They will address the role of the Compliance Department, its difference from the Legal Department and its place in a financial institution. They will also discuss the various functions of Compliance Officers and their interactions with federal and state regulators.

    In particular, the panelists will examine the fundamental ways the Dodd-Frank Wall Street Reform and Consumer Protection Act is changing the municipal securities industry. Attendees will hear about how a statute passed by Congress leads to new rules and regulations proposed by the regulatory agencies and what role Compliance Departments play in implementing the new rules.

    After panel presentation there will be small group networking discussions led by additional compliance alumni. Attendees will rotate through several discussion groups and will have an opportunity to ask questions of multiple practitioners in a small group setting, thus gaining insight and perspective into the compliance field.

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