SIFMA's Compliance & Legal Annual Seminar 2022

Partners Jay Tambe, Laura Pruitt, and Terri Chase will speak at SIFMA's Compliance & Legal Annual Seminar, the preeminent meeting place for compliance and legal professionals from across the financial services industry. The conference will take place from March 20-23 in Orlando, Florida.

Our partners will participate in the following panels:

Collusion, Manipulation and Deceptive Trading Practices

Jay Tambe (New York), leader of the Firm's global Financial Markets Practice, will moderate this panel, which will discuss the following topics:

  • Antitrust Developments and Practice Pointers
    1. The Spread of the Boycott and Manipulation Theories
    2. Standing, Efficient Enforcer, Antitrust Injury, and Other Defenses
    3. Class Certification opposition strategies
  • Impact of Parallel Proceedings
    1. Defending state False Claims Act Cases alongside antitrust/manipulation claims
    2. Cross-border proceedings
  • Coordinating parallel proceedings; resolution strategies
  • Regulatory Enforcement and the Impact on Civil Litigation

Electronic/Algorithmic Trading

Laura Pruitt (Washington), a partner in the Financial Markets Practice and former Special Counsel at the U.S. Securities and Exchange Commission, will join a discussion on the following topics:

  • Market Structure Developments
  • Algorithmic Trading strategies, including uses of Algos across markets and use of Artificial Intelligence
  • Trading Platforms and Venues
  • Trading Controls and Governance
  • Cross-Border Trading and Focus Areas of Global Regulators

Litigating with Current Employees in the COVID Era: Risks, Strategies and Best Practices

Terri Chase (Miami), a partner in the Labor & Employment Practice, will join this panel, which will discuss the following topics:

  • Impact of the COVID environment:  Considerations for Handling Religious Accommodations, HIPPA Concerns, and a more Remote Workforce
  • Conduct Risk Considerations - Connecting the Dots
  • Avoiding and Handling Retaliation Claims
  • Tricky Investigations/Discovery Issues:
    1. Who Investigates
    2. Does Privilege Apply/Do You Want Privilege to Apply
    3. Plaintiff’s Use of Corporate Documents in Litigation
    4. What If A Whistleblower Is Involved
  • Considerations in Light of Social Movements

To view the full event schedule and to register, please visit the SIFMA C&L Annual Seminar 2022 website.