CLE: Current Regulatory, Compliance and Litigation Issues for Banking and Financial Services Professionals -- Thursday, December 13, 2018

12/13/2018
8:30 AM - 4:30 PM IDLW
Kutak Rock LLP
The Omaha Building
1650 Farnam Street
Omaha, NE 68102

On Thursday, December 13, 2018 members of Kutak Rock's National Financial Services Group will present a CLE seminar titled Current Regulatory, Compliance and Litigation Issues for the Financial Services Professional. Please click here to register.

8:30 a.m. Registration followed by welcome -- Kutak Rock attorney Patrick Griffin
9:00 a.m. Kutak Rock attorneys Bryan Handlos and Christopher Parrington address legal and ethical issues regarding the
provision of financial services to the cannabis industry.
9:45 a.m. Kutak Rock attorney Dale Dixon addresses recent developments regarding the “True Lender” doctrine.
10:15 a.m. Break and open forum
10:30 a.m. Kutak Rock attorney Jeff Makovicka addresses Bank Regulatory Reform and provides a year-end review of
major developments in 2018.
11:15 a.m. Kutak Rock associate Jacob Tewes provides an update regarding General Data Protection Regulation (GDPR).
12:00 p.m. Break and open forum
12:30 p.m. Mark Quandahl, Kelly Lammers and Claire McHenry, Nebraska Department of Banking and Finance, will discuss a high-level Department update on legislative priorities, licensing, exams and trends.
1:45 p.m. Welcome -- Kutak Rock attorney Patrick Griffin
1:45 p.m. Bryan Hill, President, RIA Compliance Consultants, addresses Security Exchange Commission examination
priorities and areas of focus in 2019, succession planning requirements by state securities regulators, SEC
proposed new ADV III and other requirements.
2:15 p.m. Kutak Rock Partner Alison Gutierrez will provide a summary of recent securities-related litigation and
related proceedings.
2:45 p.m. Kutak Rock Partner Christopher Parrington addresses Procedures and Best Practices for Navigating FINRA
Arbitrations and FINRA Enforcement Actions.
3:15 p.m. Break and open forum
3:30 p.m. Kutak Rock Partner Victoria Buter addresses FINRA’s Proposed Outside Business Activities Rule and
Supervisory Issues.
4:00 p.m. Kutak Rock Partner Ed Fox discusses current SEC and FINRA initiatives and enforcement proceedings.
4:30 p.m. Adjournment

For more information, see the invitation and agenda linked below.