SIFMA C&L 2018 Annual Seminar

Bressler, Amery & Ross is a proud Diamond Sponsor of the Evening Networking Reception - 50th Anniversary Celebration at the 2018 SIFMA Compliance and Legal Society Annual Seminar where principals Brian Amery, Carole Miller, Alex Sabo and Andrew Sidman will be speaking.

On Monday, March 19, Brian Amery will participate on the panel "MB: Arbitrating in the FINRA Forum.” Topics to be covered include:

  • FINRA Dispute Resolution Update
  • Proposed New Expungement Rules
  • Issues In Arbitrator Selection: Data Aggregation Tools, Motions For Recusal, Replacement Arbitrators
  • Nonparty Issues: Confidentiality, Third Party Discovery, Non-Party Witnesses
  • Looking Ahead: Upcoming Issues


Carole Miller will participate on the panel "MA: Litigating with Current Employees – Risks, Strategies and Best Practices" on Monday, March 19. Topics to be covered include:

  • Impact Of the #Metoo Movement
  • Litigating Harassment and Discrimination Claims
  • Avoiding Retaliation Claims
  • Thorny Issues: Contact With Litigants, Regulatory Inquiries and Examinations, Performance Issues and the Media


On Monday, March 19, Alex Sabo will participate on the panel "MB: Diminished Capacity Issues for Investors and Advisors." Topics to be covered include:

  • Diminished Capacity: Latest Overview and Research
  • FINRA Rules 2165 and 4512: Implementation Progress and Challenges
  • Training and Education
  • Federal Legislation: SeniorSafe, Elder Abuse Prevention and Prosecution Act
  • State Report-and-Hold: Laws, Funding Needs and Development Of State/Local Investigation Structures


On Monday, March 19, Andrew Sidman will participate on the panel "MB: Privilege and Work Product Protections: Ethical Considerations for In-House Teams." Topics to be covered include:

  • Privilege and Work Product Issues When Dealing With Regulators
  • CSI and the Privilege: Avoiding Improper Disclosure Of Banking Regulator Materials and Other Considerations
  • Privilege and Work Product Issues When Communicating With Outside Auditors, Vendors, Boards and Affiliates
  • Best Practices For Safeguarding the Privilege: Recent Developments
  • Privilege Issues For In-House Counsel

CLE credits will be offered.

From the SIFMA website:
SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Celebrating its 50th anniversary, the 2018 Annual Seminar provides a unique opportunity for industry leaders and regulators to gather for three-days of information sharing, collaboration and networking. Throughout the program, participants will hear from the industry’s biggest names on topical issues critical to their job functions. With more than 65, CLE eligible, breakout sessions there is truly something for everyone.

To learn more about the seminar and to register, visit the SIFMA website.