An Introduction to Crypto for Financial Services Professionals (1 hr CLE: Illinois, Ohio, and Pennsylvania)
In the last couple of years, cryptocurrencies went from a fringe discussion to seemingly everywhere around us. Join Ulmer partner Nathan W. Lamb as he helps financial services professionals navigate this new reality.
He will discuss:
The differences between Bitcoin, Ethereum and the thousands of other cryptocurrencies Blockchain and how it works …
Elder Financial Exploitation: A view From the trenches: Risks, Pitfalls, and How to Try a Complex Elder Financial Abuse Case (1 hr CLE: Illinois, Ohio, and Pennsylvania)
Join Ulmer partners Michael N. Ungar and Daniela Paez as they discuss the current regulatory landscape as well as the litigation trends and risks surrounding elder financial abuse and exploitation. They will also share an overview of potential claims against financial institutions and winning legal defense strategies when trying an elder abuse case.
FINRA 2022: What to Expect? (1 hr CLE: Illinois, Ohio, and Pennsylvania)
Join Ulmer partners Alan M. Wolper and Heidi E. VonderHeide as they address hot topics, including recent rule proposals, exam priorities, and other FINRA developments.
CLE Credit + On Demand: This webinar is approved for 1.0 hour of credit in Illinois, Ohio, and Pennsylvania for the live (3/10/2022) and on-demand viewings through 12/31/2022. It is …
What’s New at the SEC in 2022? (1 hr CLE: Illinois, Ohio, and Pennsylvania)
Ulmer partner Frances Floriano Goins and Elizabeth Hill, Senior Vice President, Deputy General Counsel, at Huntington National Bank, share an overview of the 2022 exam priorities. They will also discuss “gatekeeper liability” and enhanced enforcement and novel legal theories. Finally they will examine Regulation Best Interest and its intersection with the …
The Future for Private Funds and Their Advisors – More Regulation; Less Private (1 hr CLE: Illinois, Ohio, and Pennsylvania)
Join Ulmer partner Howard M. Groedel as he discusses recent regulatory actions and what they mean for private funds and their advisors. Among other topics, Howard will address:
The primary take-aways from SEC Chairman Gary Gensler’s remarks at the November 2021 Institutional Limited Partners Association Summit Proposed new SEC rules expanding …
2022 Financial Services & Securities Litigation Webinar Series (On-Demand Credit Available)
New for 2022, Ulmer has expanded its annual Financial Services & Securities Litigation Webinar Series to include six complementary, one-hour webinars on the industry’s hottest topics led by our top-ranked attorneys and a special guest speaker. New topics this year include information on private funds for RIAs, litigation considerations in …
Financial Services Webinar Series: Industry Hot Topics
Staying current in the financial services industry is crucial in order for professionals to make smart decisions, reduce unnecessary risk, and perform with confidence. Ulmer is hosting a series of webinars that will provide cutting-edge analysis on industry hot topics.
FINRA 2021: What to Expect (1 hr CLE: Illinois, Kentucky, Ohio, Pennsylvania)
Join Ulmer partners Alan M. Wolper and Michael A. Gross as they address hot topics, including recent rule changes, exam priorities, and other FINRA developments.
Data Protection & Cybersecurity Challenges for Financial Institutions in 2021 (1 hr CLE: Illinois, Kentucky, Ohio, Pennsylvania)
Join Frances Floriano Goins and Laura J. Shaw, Associate General Counsel from KeyBank, NA, as they review the myriad regulatory schemes that govern data protection for financial services providers, keying in on both newly enacted and projected additional regulations. They will then look at the increased challenges the global pandemic has created for cybersecurity and discuss how financial service providers can best address them. Finally, they will examine some of the likely data protection and cybersecurity issues that financial service providers may face in the coming year.
SEC Update: Reg BI, Enforcement Activity, and the Willfulness Standard (1 hr CLE: Illinois, Kentucky, Ohio, Pennsylvania)
Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also look at new developments in the willfulness standard which is frequently applied in enforcement actions brought by both the SEC and FINRA.