Regulatory Changes: Impact on Energy and Financial Service Companies

June 6, 2017 | 4:30 PM - 8:00 PM

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Regulatory Changes: Impact on Financial Service and Energy Companies

This event is a part of the Putting Investors First Campaign 2017 at CFANY. The Putting Investors First campaign is a series of events held at over 100 CFA Societies around the world.

Tuesday, June 6th
4:30 pm – 8:00 pm

Register

Location

CFANY Conference Center
1540 Broadway #1010,
New York, NY 10036

 

Registration Deadline

Monday, June 5

Fees

Members $30
Nonmembers $70

Organizer

Nir Yarden

Marketing Sponsor

Host

Regulation & Market Integrity Group

Speakers

Bradley Ball, Financial Sector Strategist, UBS
Brian Golob, Principal, Conduct & Regulatory Risk Management, Greenwich Associates & Former Global General Counsel & Chief Compliance Officer, Russell Investments (2009-2017)
Adam Gilbert, Risk and Regulatory Co-Leader, PwC Financal Services Advisory
Mark Menting, Partner, Financial Services Group, Sullivan & Cromwell LLP
Avi Garbow, Partner, Gibson, Dunn & Crutcher; Former General Counsel, U.S. Environmental Protection Agency (2013-2017)
Diana Liebmann, Partner, Haynes & Boone, LLP (Power & Utilities)
George Hopkins,  Partner, Vinson & Elkins LLP  (Oil & Gas)

Moderator
Nir Yarden, Founder & Principal, Yarden Law Firm, LLC

Program Overview

Current and anticipated regulatory changes will have an important impact on two critical investment sectors: Energy and financial services. If you invest in, perform financial analysis on or work at energy or financial service companies, it’s imperative that you be aware of the latest regulatory changes occurring in Washington, DC and at a state level in order to assess what opportunities and risks these changes present to the companies you follow, invest in or work at.

On Tuesday, June 6, the Regulation and Market Integrity Thought Leadership Group will sponsor two panel discussions made up of leading experts in both sectors to discuss current and anticipated regulatory changes impacting these sectors to help CFANY members assess those opportunities and risks.

The Financial Service Panel will discuss investment considerations associated with current proposed regulatory relief for midsized/smaller banks, targeted Dodd-Frank ACT rollbacks, DOL fiduciary rule implementation issues and the emergence of “shadow banking” sector and its impact on traditional bank business lines. The Energy Panel will discuss practical issues associated with the current rollbacks in energy and environmental regulations, issues with respect to the U.S. withdrawal from the Paris climate accord and energy infrastructure and pipeline initiatives.

Agenda

4:30 – 5:00PM Registration

5:00 – 5:10PM Opening Remark: Nir Yarden, Principal, Yarden Law Firm, LLC and Chair, Regulatory and Market Integrity Group

5:10 – 6:10PM Financial Services Industry Panel

Moderator
Nir Yarden, Founder & Principal, Yarden Law Firm, LLC

Panel
Bradley Ball, Financial Sector Strategist, UBS

Brian Golob, Principal, Conduct & Regulatory Risk Management, Greenwich Associates & Former Global General Counsel & Chief Compliance Officer, Russell Investments (2009-2017)

Adam Gilbert, Risk and Regulatory Co-Leader, PwC Financal Services Advisory

Mark Menting, Partner, Financial Services Group, Sullivan & Cromwell LLP

6:10 – 7:10PM Energy/Environment Industry Panel

Moderator
Nir Yarden, Founder & Principal, Yarden Law Firm, LLC

Panel
Avi Garbow, Partner, Gibson, Dunn & Crutcher; Former General Counsel, U.S. Environmental Protection Agency (2013-2017)

Diana Liebmann, Partner, Haynes & Boone, LLP (Power & Utilities)

George Hopkins,  Partner, Vinson & Elkins LLP  (Oil & Gas)

7:10 – 7:15PM Closing Remark: Harumi Urata-Thompson, CFA

7:15PM Networking

CFANY expects all attendees to comply with CFANY’s Code of Conduct while attending CFANY events or meetings. CFANY expressly reserves the right, in its sole discretion, to grant or deny access to any individual, or to expel any individual from any CFANY event or meeting.

The CFA Society New York, Inc. (“CFANY”) is not a Registered Investment Advisor, Broker/Dealer, Financial Analyst, Financial Bank, Securities Broker, or Financial Planner. While CFANY seeks to present accurate and reliable information, CFANY does not endorse, approve, or certify such information, nor does it warrant or guarantee the accuracy, completeness, efficacy, timeliness, or fitness of such information for any particular purpose. Information presented may or may not be current as of the date of the presentation, and CFANY has no duty to update and maintain the information, reports, or statements made during events.

The information presented is provided for information purposes only, and is not intended to be and does not constitute financial advice, investment advice, trading advice, or any other advice, is general in nature, and is not specific to you. None of the information presented is intended as an offer or solicitation of an offer to buy or sell, or as a recommendation, endorsement, or sponsorship of any security, company, or fund. CFANY is not responsible for any investment decision made by you.

You should not make any financial, investment, trading or other decision based upon any of the information presented at CFANY without undertaking your own independent due diligence and consulting with a qualified and registered securities professional. You understand that your use of any of the information presented at CFANY is at your own risk.

There is a substantial amount of risk in trading securities, and the possibility exists that you can lose all, most or a portion of your capital. CFANY does not, cannot, and will not assess or guarantee the suitability or profitability of any particular investment, or the potential value of any investment or informational source. The securities mentioned in any CFANY presentation may not be suitable for investors depending on their specific investment objectives and financial condition.

Sponsorship Overview

For over 80 years, CFA Society New York—formerly known as New York Society of Security Analysts (NYSSA)—has been a leading forum for the exchange of information among investment professionals. Our mission is to raise standards of practice in the industry for the ultimate benefit of society. Towards that goal, CFA Society New York content is curated by volunteer practitioner interest groups that strive to shape the future of the industry. A bold line exists between the financial support by organizations to maintain the quality of our programming and the selection of speakers who contribute to dialogue in our community. To that end, a ceaseless commitment to transparency is something we consider foundational to our cause.

Please be advised of the following information related to Society sponsorship and support:

Through financial support and other means of in-kind support, each event sponsor, event partner, event co-host and organizational partner of CFA Society New York plays a valuable role in the furtherance of the range of forward-thinking initiatives that underpin the Society’s values, and toward our mission to deliver Society content and programming of the highest quality and standard.

CFA Society New York thanks all of its sponsors, event-related affiliates and organizational partners for helping us continue to shape the conversation of the investment community.

Legal Notice and Disclaimer

CFA Society New York (including its employees and agents) assumes no responsibility for presenters or consequences resulting from the use of information or content of such information presented, including (but not limited to) errors or omissions, the accuracy or reasonableness of factual or scientific assumptions, studies or conclusions, the defamatory nature of statements, ownership of copyright or other intellectual property rights, and the violation of property, privacy, or personal rights of others. The CFA Society New York is not responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to, or reliance on such information. No guarantees or warranties, including (but not limited to) any express or implied warranties of merchantability or fitness for a particular use or purpose, are made by CFA Society New York with respect to such information. CFA Society New York does not endorse, approve, or certify such information, nor does it guarantee the accuracy, completeness, efficacy, timeliness, or correct sequencing of such information. All presentations represent the opinions of the presenters and do not represent the position or the opinion of CFA Society New York or its members. Reference by the presenters to any specific commercial product, process or service by trade name, trademark, service mark, manufacturer, and corporation or otherwise does not constitute or imply endorsement, recommendation, or favoring by CFA Society New York.

CFA Society New York strives to be a community for diverse opinions and differing perspectives, and the views and opinions expressed by speakers, presenters and/or organizers at events do not necessarily state or reflect those of CFA Society New York.

CFA Society New York expects all attendees to comply with CFA Society New York’s Code of Conduct while attending CFA Society New York events or meetings. CFA Society New York expressly reserves the right, in its sole discretion, to grant or deny access to any individual, or to expel any individual from any CFA Society New York event or meeting.

Inclement weather

CFANY reserves the right to cancel or reschedule all in-person events within 48 hours when inclement weather has been forecasted and travel is restricted by city officials.  The program may also be produced solely via livestream in such circumstances.  Please note the cancellation policy regarding refunds and substitutions.

Refunds, Cancellations, and Substitutions

  • 72 HOURS ADVANCED NOTICE OR MORE:
    • Full refund issued
  • WITHIN 48 HOURS OR AFTER EVENT HAS STARTED:
    • No refund

All requests for cancellation or refunds must be sent to cfanyevents@cfany.org.

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CFA Society New York, Inc. (“CFA NY”) is not a Registered Investment Advisor, Broker/Dealer, Financial Analyst, Financial Bank, Securities Broker, or Financial Planner. While CFA NY seeks to present accurate and reliable information, CFA Society New York does not endorse, approve, or certify such information, nor does it warrant or guarantee the accuracy, completeness, efficacy, timeliness, or fitness of such information for any particular purpose. Information presented may or may not be current as of the date of the presentation, and CFA Society New York has no duty to update and maintain the information, reports, or statements made during events.

The information presented is provided for information purposes only, and is not intended to be and does not constitute financial advice, investment advice, trading advice, or any other advice, is general in nature, and is not specific to you.

None of the information presented is intended as an offer or solicitation of an offer to buy or sell, or as a recommendation, endorsement, or sponsorship of any security, company, or fund.