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.