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

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

December 10, 2020, 9:30 am - 3:00 pm

Guest Speakers

Claire McHenry - Nebraska Department of Banking and Finance

Antonia "Toni" Bonsera – Nebraska Department of Health and Human Services Division of Children and Families

Agenda - Morning Session

9:30 – 10:15
Kutak Rock Partner Bryan Handlos discusses the Federal Reserve Board’s new control regulations.

10:15 – 11:00
Kutak Rock Partner Jeffrey Makovicka discuss (a) recent developments on how the market is preparing for the transition from LIBOR and (b) key programs and changes under the CARES Act (such as the SBA’s Paycheck Protection Program and the Fed’s Main Street Lending Program) and recent developments.

11:00 – 11:45
Kutak Rock Partner Patrick Griffin discusses litigation risk and mitigation through the eyes of the Office of the Comptroller of the Currency.

Virtual Lunch Session 11:50 - 1:00 pm

Claire McHenry of the Nebraska Department of Banking and Finance, Bureau of Securities and Antonia Bonsera of the Nebraska Department of Health and Human Services will present their Senior Safe program, aimed at helping professionals and others identify and address the potential abuse of vulnerable persons, including our senior citizens.

Afternoon Session

1:00 – 1:30
Bryan Hill, President, RIA Compliance Consultants, discusses compliance issues with multi-branch offices of RIAs and Form ADV Part 3 Compliance.

1:30 – 2:00
Kutak Rock Partner Alison Gutierrez discusses what to expect for Reg BI/Form CRS enforcement in the coming year.

2:00 – 2:30
Kutak Rock Partner Vicki Buter discusses best practices to avoid litigation/arbitration.

2:30 – 3:00
Kutak Rock Partner Ed Fox discusses current SEC and FINRA initiatives and enforcement proceedings.