SIFMA Compliance & Legal Society Annual Conference

Bressler Attorneys Carole Miller, Brian Amery, Tracey Salmon-Smith, Andrew Sidman and Alex Sabo will be speakers at the 2014 SIFMA Compliance and Legal Society Annual Conference.

Andrew Sidman and Alex Sabo will be panelists on Monday, March 31.

Andrew Sidman will be a panelist at the "Protecting Material Non-Public Information" session. Topics will include:

• Legal and Regulatory Developments
• Developing a Control Room
• Emergence of Insider Trading and Other Developments Around Selective Dissemination and Front Running
• Regulation M Issues
• International Developments (With Potential US Impact)

 

Alex Sabo will be a panelist at the "Managing Legal Issues for Small and Regional Firms" session.  Topics will include:

• Structural Considerations for the Legal Department
• Role of the Legal Department in the Emergence of Risk Management
• Dealing with Regulators, including Managing and Resolving Enforcement Matters
• Information Barriers: Unique Challenges for Smaller Firms
• Managing Arbitration/Litigation Matters

 

Brian Amery and Tracey Salmon-Smith will be participating in panels on Tuesday, April 1.

Brian Amery will be a panelist at the "Arbitration Practitioners Workshop: Strategies from the Front Lines" session.  Topics will include:

• Non-Traditional Uses of KYC: Defending Attempts to Extend the Know Your Customer Obligation
• Vacatur: Establishing a Record and Challenging an Award in Court
• Witnesses: Practice Tips for Dealing with the Testimony of Current and Former Employees
• Damages - Under What Circumstances Should You Introduce Alternative Loss Calculations?

 

Tracey Salmon-Smith will be a panelist at the "Diversity & Inclusion" session.  Topics will include:

• The Business Case
            • Company Imperative/Objective
            • Law & Compliance Division Application
            • Law Firm Practice Application & Implication
• The Challenges to Progress
• Legal Considerations
            • Section 342
            • Federal Laws, Rules and Regs (Title VII, ADA, etc.)
            • Some Discussion of EEOC Cases and Initiatives
            • Some Discussion of Anti-Discrimination Laws/Regs
            • Discuss Implications of Recent Class Action Industry Race/Gender Settlements (Particularly Undertakings)
• Good & Best Practices
            • In House Models that Work/Are in Progress
            • Law Firm Models
 

Carole Miller will be a panelist at the "Employment: High-Profile Issues" session on Wednesday, April 2.  Topics will include:

• Arbitration Update
• Americans With Disabilities Act Update
• Class/Collective Action Update
• Supervisor Status and Individual Liability
• Social Media in the Workplace
• Employment Regulation and Legislation to Watch in 2014