SPEAKING ENGAGEMENTS
2017
University of Oxford, Smith School of Enterprise and the Environment, AllianzGI-Oxford Pensions Conference—Coping with Disruptive Change, “How Are Robo-Advisors Regulated?” Oxford, United Kingdom, September 12, 2017.
Robert Morris University, “Litigation Risk and University Plan Sponsors Under ERISA,” Pittsburgh, Pennsylvania, May 10, 2017.
2014
Practising Law Institute, Financial Services Fiduciary Duties: Navigating the Emerging Regulatory Maze, New York, May 22, 2014.
2013
Columbia Law School, Conference on Securities Regulation and Enforcement, Money Market Funds, New York, November 15, 2013.
2012
American Enterprise Institute, "Do Money Market Funds Create Systemic Risk?", Washington, D.C., June 28, 2012.
2010
Financial Services Roundtable, Webinar on Dodd-Frank Wall Street Reform and Consumer Protection Act, The New Swaps Regulatory Regime, Washington, D.C., July 22, 2010.
Financial Services Roundtable, Webinar on Dodd-Frank Wall Street Reform and Consumer Protection Act, New Challenges for the Securities and Exchange Commission, New Regime for Credit Ratings Agencies, Washington, D.C., July 8, 2010.
Greater Pittsburgh Compliance Roundtable, Navigating the Financial Renaissance, Panel Member, April 29, 2010.
2009
Duquesne University, Ethics, Regulation and Risk Management: A New Paradigm for the Financial Services Industry, Moderator, Panel on Ethics, Pittsburgh, April 21, 2009.
American Bar Association, Banking Law Committee, Credit Default Swaps: Regulatory Update, Vancouver, April 16, 2009.
Yale Law School, Roundtable on The Future of Financial Regulation, Moderator, Panel on Reforming Financial Institution Regulation, Feb. 13, 2009.
2008
The Emergency Economic Stabilization Act of 2008: A Solution to the U.S. Financial Crisis? a webinar sponsored by Incisive Media, Nov. 12, 2008.
Roundtable on the Financial Crisis, Catholic University Columbus School of Law, Washington, D.C., Oct. 27, 2008.
Bank Compliance with Regulation R, a series of teleconferences with bank audiences, January-February 2008.
Regulation R Workshop, Fiduciary and Investment Risk Management Association, National Risk Management Training Conference, Orlando, Florida, April 6, 2008.
2007
Mutual Funds as an Employee Retirement Investment, First Annual National Institute on Investment Management Basics, American Bar Association and the Morin Center for Banking and Financial Law, Boston, October 30, 2007.
Fiduciary Compensation and the Reasonableness of Trustee Fees, FDIC Trust Examiner Training Program, Washington, D.C., October 18, 2007.
Bank Securities Activities—Regulation R Developments, Presented at the Annual Meeting of the Lawyers Council, Financial Services Roundtable, Washington, D.C., May 10, 2007.
"How Does the UK Financial Services Authority Work?," American Enterprise Institute, Washington, D.C., March 29, 2007 (panel discussant).
The Convergence of Financial Products and the Implications for Regulatory Convergence, presented at a symposium titled “Can We Improve Policy-Making in Financial Services Regulation?” sponsored by American Enterprise Institute, Washington, D.C., January 24, 2007.
2006
How to Manage Conflicts of Interest in a Diversified Wealth Services Organization, Boston University School of Law, Center for Banking and Financial Law, and Federated Investors, Inc., Washington, D.C., October 13, 2006.
The Compliance Challenge: How to Structure a Compliance Program for a Diversified Financial Services Organization,” The Financial Services Roundtable, Boston University School of Law, Morin Center for Banking and Financial Law, and Goodwin Procter LLP, Washington, D.C., May 2006.
Update on Regulation B, Trust Officers’ Conference, Pinehurst, North Carolina, February 20, 2006.
2005
Bank-Affiliated Brokers Conference, Washington, D.C., November, 2005.
Is There a Better Way to Regulate Mutual Funds? Conference sponsored by American Enterprise Institute, October 24, 2005.
The Financial Services Roundtable, Annual Lawyer’s Committee Meeting, May, 2005, Prospects for Regulation B, May, 2005.
2004
American Bar Association, Banking Law Committee, Panel on Regulation B, Richmond, Virginia, November 2004.
The New SEC Bank Broker Dealer Rule: What It Means for You, Massachusetts Bankers Association, Framingham, MA, June 22, 2004.
Conference on SEC’s Bank Broker Dealer Rule, Morin Center for Financial Law of Boston University School of Law, Washington, D.C., June 18, 2004.
The Financial Services Firm of the Future: Broadening Opportunities with the Banking Charter, Strategic Research Institute, New York, May 10-11, 2004.
Fiduciary Compensation, Trust Advisors Forum, Pinehurst, North Carolina, February 23, 2004.
Mutual Funds Conference, American Conference Institute, New York, February 26, 2004.
2003
Bank Affiliated Trust Companies Conference, Hartford, Connecticut, October 3, 2003.
2002
Financial Services Roundtable, moderated panel on SEC Bank Broker-Dealer Regulation, Washington, D.C., April 2002.
Federated Investors, Inc., Forum for Financial Executives, panel on SEC Bank Broker-Dealer Regulation, Pittsburgh, June 19, 2002.
American Law Institute-American Bar Association on Continuing Professional Education, Broker-Dealer Regulation, Washington, D.C. January 10-11, 2002.
Arnold & Porter Annual Financial Institutions Seminar, April 18, 2002.
2001
Federated Investors, Proprietary Mutual Funds and Fiduciary Risk, Boston University Law School, October 25, 2001.
Federated Investors, Forum for Financial Executives, Santa Fe, New Mexico, September 14, 2001.
Federated Investors, Forum for Financial Executives, Washington, D.C., June 15, 2001.
The Fiduciary Education Foundation, “Implications of the Gramm-Leach-Bliley Act for Bank Trust Departments,” Harrisburg, Pennsylvania, May 23, 2001.
Arnold & Porter Annual Financial Institutions Seminar, April, 2001.
District of Columbia Bar Continuing Legal Education Program, “Introduction to Banking and Financial Institutions Law Series,” February 15, 2001.
2000
Federated Investors, “Proprietary Mutual Funds and the Fiduciary Investment Process,” New York, November 9, 2000.
Association of Banks-in-Insurance, Annual Conference, “The Full Spectrum of Financial Services in the 21st Century,” Chicago, Oct. 6, 2000.
Trust Compliance Managers Roundtable, “Gramm-Leach-Bliley Act,” Baltimore, Maryland, June 12, 2000.
Arnold & Porter Annual Financial Institutions Seminar, May 19, 2000.
Executive Enterprises, “Implications of Financial Modernization,” Alexandria, Virginia, May 17, 2000.
Federated Investors, Third Annual Fund Distribution and Marketing Conference, “Functional Regulation Provisions of the Gramm-Leach-Bliley Act,” Chantilly, Virginia, April 13, 2000.
Bank Administration Institute, ACE Conference, Las Vegas, April 3, 2000.
Bank Administration Institute, Annual Advisory Council Meeting, Orlando, Feb. 28, 2000.
1999
Practising Law Institute, “Financial Institutions in the New E-Commerce Economy,” New York, Dec. 7, 1999.
Arnold & Porter Annual Financial Institutions Seminar, October 29, 1999.
Bank Administration Institute, Risk Management Conference, New York, October 17-18, 1999.
Federated Investors, Risk Management Seminar, Pittsburgh, October 19, 1999.
Bank Administration Institute, Compliance Conference, Orlando, May 5, 1999.
1998
Investment Products Seminar, Federated Investors, Pittsburgh, April 22, 1998.
Risk Management Symposium, Federated Investors, Pittsburgh, Oct. 15, 1998.
“Financial Institutions: Successful Techniques for Cross-Industry Expansion in the New Era,” Practising Law Institute, Dec. 7, 1998.
1997
“Financial Institutions and Mergers and Acquisitions--The New Era,” Practising Law Institute, New York, Feb. 3-4, 1997.
“The New Business of Banking,” Practising Law Institute, December 8-9, 1997.
Arnold & Porter Financial Institutions Seminar, September 25, 1997.
Women’s Information Network, “Leading Women in the Law,” June 4, 1997.
15th Banking Law Institute, April 29, 1997.
1996
Bank General Counsel Conference, New York, December 12, 1996.
“The New Business of Banking,” Practising Law Institute, New York, Dec. 4-5, 1996.
“Regulation Y and Regulatory Reform,” sponsored by Bank Administration Institute and Arnold & Porter, Washington, D.C., November 25, 1996.
“Recent Legislative Developments,” D.C. Bar Association, Washington, D.C., November 21, 1996.
“Electronic Money,” Southern Economic Association, Washington, D.C., November 25, 1996.
“Securities Activities of Banks,” Glasser LegalWorks, New York, November 19, 1996.
“Banking Litigation,” co-sponsored by American Bankers Association and Georgetown University Law Center for Continuing Legal Education, November 14, 1996.
Washington Financial Forum, Washington, D.C., November 7, 1996.
“Bank Trustee Compensation in a Mutual Fund Environment,” Federated Investors, Pittsburgh, October 10, 1996.
“Digital Money,” Institute for Technology Assessment, Capitol Hill, Washington, D.C., September 10, 1996.
Consumer Bankers Association Lawyers’ Committee Meeting, Orlando, Florida, August 2, 1996.
Banking Expansion Institute, Washington, D.C., June 18, 1996.
International Conference on Russian Banking, St. Petersburg, Russia, June 6, 1996.
“31st Annual Banking Law Institute Conference,” Executive Enterprises, May 30-31, 1996, Washington, D.C.
“Bank Mutual Fund Activities,” The Bankers Roundtable Annual Lawyers’ Committee Meeting, May 23, 1996, Washington, D.C.
1996 Mid-Atlantic Bank Compliance Conference, May 29, 1996, Baltimore.
“Banking Law and Regulation,” American Bar Association, Section of Administrative Law and Regulatory Practice, Continuing Legal Education Seminar, May 9-10, 1996.
Bank Administration Institute, Capital Markets Conference, April 29-30, 1996, New York.
Arnold & Porter Annual Financial Institutions Seminar, Washington, D.C., April 18-19, 1996.
11th Annual Compliance Conference, National Regulatory Service, March, 1996, Orlando, Florida.
“Technology and Finance,” A Discussion Series of the New York Academy of Sciences, New York, February 15, March 7, April 2, and April 30, 1996.
Consumer Bankers Association Financial Affairs Council, Washington, D.C., March 11, 1996.
“The New Aggressive Era in Financial Institutions Mergers and Acquisitions,” Practising Law Institute, Feb. 29, 1996, New York.
“Ensuring Mutual Fund Sales Compliance,” Global Business Research, Ltd., February 28-29, 1996, New York.
“Cyberbanking,” Glasser LegalWorks, Feb. 8-9, 1996, Washington, D.C.
Conference of State Bank Supervisors' Conference on Interstate Banking & Branching: State Laws & Policies, Conference of State Banking Supervisors, February 2, 1996, Washington, D.C.
1995
“Legal and Policy Issues Raised by Cyberbanking,” a seminar for policymakers at the bank regulatory agencies sponsored by the Federal Financial Institutions Examination Council, Dec. 19, 1995, Washington, D.C.
“The New Business of Banking,” Practising Law Institute, Dec. 4-5, 1995, New York.
“Securities Activities of Banks,” Glasser LegalWorks, Nov. 30, 1995, New York.
“Bank Mutual Fund Asset Allocation Wrap Programs,” Strategic Research Institute, Nov. 29, 1995, New York.
1995 Bank Mutual Funds Compliance Conference, Bank Administration Institute, Oct. 26, 1995, Washington, D.C.
Russian Bank Lawyers’ Seminar, Arnold & Porter, Washington, D.C., Oct. 20, 1995.
“Banking, Insurance, Securities: The Convergence of Three Industries,” 1995 National Membership Meeting, National Society of Compliance Professionals, Oct. 18, 1995.
“Investment Management Regulation,” American Law Institute-American Bar Association, Oct. 13, 1995, Washington, D.C.
“Bank Mutual Fund Compliance Seminar,” Federated Investors, Pittsburgh, Sept. 28, 1995.
“Third Annual Bank Mutual Fund Activities of Banks,” Aspen Law & Business, Washington, D.C., Sept. 21‑22, 1995.
Federated Securities Corp., Second Annual Roundtable Discussion, Pittsburgh, July 27, 1995.
International Conference on Russian Banking, St. Petersburg, Russia, June 1995.
Russian Bank Lawyers’ Seminar, Arnold & Porter, Washington, D.C., May 23-24, 1995.
“New Investment Products,” The Bankers Roundtable Annual Lawyers’ Council Meeting, Washington, D.C., May 19, 1995.
“Mutual Fund Activities of Banks,” 13th Annual Banking Expansion Institute, Aspen Law & Business, Washington, D.C., May 5, 1995.
“Bank Regulatory Developments,” Arnold & Porter Annual Financial Institutions Seminar, Washington, D.C. April 27, 1995.
“Bank Investment Products: Significant Recent Developments,” Arnold & Porter Annual Financial Institutions Seminar, Washington, D.C. April 27, 1995.
“Acquisitions of Nonbank Firms,” Lecture at Boston University Law School Morin Center for Banking Studies, Boston, April 11, 1995.
National Regulatory Service, Tenth Anniversary Investment Adviser & Broker-Dealer Compliance Conference, Bermuda, April 4-5, 1995.
“The New Business of Banking,” Practising Law Institute, Washington, D.C., March 27-28.
American Conference Institute, Third Annual Bank Regulation Conference, Washington, D.C., March 16, 1995.
“Institute of Banking Law and Regulation,” University of Miami School of Law, Miami, March 9-10, 1995.
Consumer Bankers Association, Executive Symposium on Consumer Investments, Washington, D.C., March 6-7, 1995.
Washington Financial Forum, sponsored by The Secura Group, Washington, D.C., March 7, 1995.
“Mutual Fund & Asset Management Consolidation,” Strategic Research Institute, New York, Feb. 27-28, 1995.
“The Russian Banking System,” Lecture at Boston University School of Law, Morin Center for Banking Studies, Boston, February 8, 1995.
“Bank Investment Marketing,” Executive Enterprises, January 1995, New York.
1994
Third International Conference on Russian Banking, Central Bank of Russia and the Russian Bankers Association, Moscow, December 5-9, 1994.
Mid-Atlantic Association of Financial Affiliates, Fall Meeting, December 1, 1994.
“Securities Activities of Banks,” Prentice Hall Law & Business, October 27, 1994, New York.
“Legal, Regulatory and Compliance Issues Resulting From Bank Mutual Fund Activities,” Federated Investors, Inc. Compliance Seminar, October 25, 1994, Pittsburgh.
Financial Markets Association, 1994 Legal Issues Conference, October 21, 1994, Washington, D.C.
Chevy Chase Financial Services, Annual Awards Breakfast, October 14, 1994, Washington, D.C.
National Society of Compliance Professionals, Inc., 1994 National Membership Meeting, October 7, 1994, Washington, D.C.
“The New Bank and Thrift Supervision, Enforcement, and Compliance Conference,” Executive Enterprises, September 27, 1994, Washington, D.C.
“Mutual Fund Activities of Banks,” Prentice Hall Law & Business, Washington, D.C., September, 1994.
“Bank Mergers and Acquisitions: Arriving at a Successful Deal,” Practising Law Institute, September 13, 1994, New York.
“Banks: Back into the Leasing Business,” Euromoney, June 20, 1994, Chicago.
International Monetary Fund, Seminar on Current Legal Issues Affecting Central Banks, May 18, 1994, Washington, D.C.
Virginia Bankers Association Legal Affairs Seminar, May 18, 1994, Abingdon, Virginia.
Bank Investment Product Forum, Faulkner & Gray, May 12‑13, 1994, Tampa, Florida.
Virginia Bankers Association Legal Affairs Seminar, May 12, 1994, Richmond.
Virginia Bankers Association Legal Affairs Seminar, May 11, 1994, Falls Church, Virginia.
Banking Expansion Institute, Prentice Hall Law & Business, May 9-10, 1994, Washington, D.C.
Annual Managers Meeting, Regulatory Panel, BHC Securities, Inc., Hilton Head, May 7, 1994.
“Bank Mutual Fund Activities,” Lawyers Committee Meeting, The Bankers Roundtable, May 6, 1994.
Federal Reserve Bank of Atlanta, “Banking in a High-Tech World,” Mutual Fund Panel, April 28-29, 1994, Atlanta.
Consumer Bankers Association, “Executive Symposium on Consumer Investments,” April 28, 1994, Washington, D.C.
Consumer Bankers Association, Investments Committee Meeting, April 27, 1994, Washington, D.C.
Federated Investors, Bank Mutual Fund Seminar, April 21, 1994, Naples, Florida.
“Legal Panel Discussion: What to Expect as Banking Regulators and Congress Focus on Banks in the Mutual Fund Business,” Dreyfus Annual Mutual Fund Conference, April 16, 1994, Palm Springs.
Arnold & Porter Financial Institutions Seminar, Legislative and Mutual Funds panels, April 14, 1994.
“Merging Financial Markets: Banks, Insurance Companies & Mutual Funds” sponsored by the District of Columbia Bar and George Washington National Law Center, Washington, D.C., March 24-25, 1994.
1993
American Corporate Counsel Association, New York, Feb. 11, 1993.
Lecture on the Glass-Steagall Act, Boston University, Morin Center for Banking Law Studies, Boston, March 19, 1993.
“Bank Mutual Fund Activities,” Arnold & Porter Annual Financial Institutions Seminar, Washington, D.C., April 15-16, 1993.
“Recent Developments Affecting Bank Investment Products,” Federated Investors, Inc., Florida, April 28, 1993.
Association of Bank Holding Companies, Annual Lawyers Committee Meeting, Washington, D.C., April 29, 1993.
“U.S. Banking Law,” Treasury Department Program for visiting delegation from Kazakhstan, May 11, 1993.
“Mutual Fund Activities of Banks,” Arnold & Porter, Washington, D.C., June 18, 1993.
“Developments in Washington Affecting Bank Leasing Activities,” Euromoney seminar on Banks and Leasing in the 1990s, Chicago, July 29, 1993.
“Mutual Fund Activities of Banks,” Arnold & Porter, Los Angeles, September 13, 1993.
“Mutual Fund Activities of Banks,” Prentice Hall Law & Business, Washington, September 20-21, 1993.
“Bank Mutual Fund Activities,” American Banker, New York, September 30, 1993.
“Bank Mutual Fund Developments,” New York Bar Association Annual Meeting, New Paltz, New York, October 2, 1993.
“Mergers and Acquisitions,” Executive Enterprises, Washington, D.C., October 4, 1993.
Mellon Bank Annual Lawyers Committee Meeting, Pittsburgh, October 6, 1993.
“Bank Mutual Fund Activities,” Financial Management Association Annual Meeting, Toronto, October 15, 1993 (sent colleague in my place).
“Securities Activities of Banks,” Prentice Hall Law & Business, New York, October 18-19, 1993 (sent colleague in my place).
Conference of State Bank Supervisors Seminar for General Counsels of State Banking Departments, Washington, D.C., October 15, 1993 (sent colleague).
Second International Conference on Russian Banking, Moscow, October 18-22, 1993.
District of Columbia Institute of Certified Public Accountants, November 30, 1993.
1992
Moderator, Banks and Mutual Funds Conference, IBC USA Conferences Inc., New Orleans, April 1992
Arnold & Porter Annual Financial Institutions Seminar, April, 1992
Arnold & Porter Seminar on Sweep Fees, Sept. 1992
Securities Activities of Banks, Prentice Hall Law & Business, New York, October 1992
Trust Law Issues, Trust Research Group, Washington, D.C., October, 1992
“Recent Developments Affecting Bank Investment Practices,” Federated Investors Client Seminar, Marco Island, Florida, April 28, 1992
Federal Deposit Insurance Improvement Act of 1991, Practising Law Institute, Washington, D.C., Jan. 1992
Federal Deposit Insurance Improvement Act of 1991, Southern Bank Counsel, Kiawa Island, South Carolina, May 1992
The Impact of FDICIA: One Year Later, Practising Law Institute, New York, Dec. 1992
International Conference on Russian Banking, Moscow, November 9-13, 1992
1991
Banks and Mutual Funds Conference, IBC USA Conferences Inc., New Orleans
Banking Legislation, Rhode Island Bar Association, Annual Meeting, Newport, R.I.
Securities Activities of Banks, Prentice Hall Law & Business, New York
Leasing and Lender Liability, Association of Equipment Lessors, Annual Meeting, Chicago
Arnold & Porter Annual Financial Institutions Seminar, Washington, D.C.
Arnold & Porter Seminar for Junior Bank Lawyers, Washington, D.C.
“Securities Regulation of Banks and Thrifts,” Practising Law Institute, Washington, D.C.
1990
“Securities Regulation of Banks and Thrifts in the 1990s,” Practising Law Institute, Washington, D.C.
Arnold & Porter Annual Financial Institutions Seminar, Washington, D.C.
Securities Activities of Banks, Prentice Hall Law Business, New York
Banking Expansion Institute, Washington, D.C.
Bank Capital Markets Association, Annual Meeting, Washington, D.C.