Kutak Rock and Bryan Hill, RIA Compliance Consultants, Inc. Present

Current Regulatory, Compliance & Litigation Issues
Complimentary CLE for Banking & Financial Services Professionals

December 5, 2019, 8:30 - 4:30

Guest Speakers

Shawn Kasal – 12 Points Technologies

Kelly Lammers and Claire McHenry – Nebraska Department of Banking and Finance

Hollie Mason – The Brattle Group

Agenda - Morning Session

8:30 – 9:00
Registration Followed by Welcome – Kutak Rock Partner Patrick Griffin

9:00 – 9:45
Kutak Rock Partner Dale Dixon leads a panel of practitioners exploring legal developments in banking mergers and acquisitions.

9:45 – 10:30
Kutak Rock Partner Jeff Makovicka provides a FinTech Update addressing recent regulatory developments.

10:30 – 10:45
Break and Open Forum

10:45 – 11:15
Kutak Rock Partner Bryan Handlos explores stories of banks and lawyers (including Alexander Hamilton) from the birth of the United States forward, and addresses what the historical foundations of our modern systems teach us today.

11:15 – 11:45
Kelly Lammers, Deputy Director, Financial Institutions, Nebraska Department of Banking and Finance will present a Department update on legislative priorities, licensing, exams and trends relative to financial institutions.

Lunch Session 11:45 - 1:15

Special Guest Speaker Shawn Kasal
Shawn Kasal, 12 Points Technologies, will provide an in-depth analysis of digital forensics in legal investigations and proceedings, addressing scope, uses and consequences.

Afternoon Session

1:15
Welcome – Kutak Rock Partner Patrick Griffin

1:15 – 1:45
Claire McHenry, Deputy Director, Bureau of Securities, Nebraska Department of Banking and Finance will present a Department update on legislative priorities, licensing, exams and trends in the investment advisory and securities broker-dealer spheres.

1:45 – 2:15
Bryan Hill, President, RIA Compliance Consultants addresses SEC guidance on investment advisor fiduciary duties and 2019 SEC exams.

2:15 – 2:45
Kutak Rock Partner Alison Gutierrez addresses proposed changes to FINRA’s rules and procedures regarding expungement.

2:45 – 3:00
Break and Open Forum

3:00 – 3:30
Hollie Mason, Senior Consultant, The Brattle Group address Reg BI compliance – what to know and what’s next.

3:30 – 4:00
Kutak Rock Partner Victoria Buter addresses new SEC Form CRS, and the interplay with Form ADV and Reg BI.

4:00 – 4:30
Kutak Rock Partner Ed Fox discusses current SEC and FINRA initiatives and enforcement proceedings.

4:30
Adjournment