FMA's 2022 Securities Compliance Seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants and are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory hot button priorities.

Guidehouse Sessions: 

Digital Assets Regulation: Where We Are Today

Date & Time: Wednesday, May 4, 2:15 p.m. – 3:15 p.m. EDT

During this session, panelists will discuss: 

• Review the current state of digital assets regulation, including whether it is a currency, a security, a commodity or something else
• Explore who should be responsible for digital asset regulation, including discussion of the role the bank regulators, the SEC and CFTC should play 
• Discuss recent SEC, CFTC and Treasury actions and what they mean for digital assets going forward 
• Consider questions related to specific products including whether registered fund investment in cryptocurrencies will be permitted 
• Define stablecoin and explore its impacts on other products

Moderator: Richard F. Kerr, Partner/Asset Management and Investment Funds, K&L Gates LLP
Speakers:

• Alma Angotti, Partner, Financial Services, Global Legislative and Regulatory Risk Leader
• Stephen M. Humenik, Partner, K&L Gates LLP
• Gregory E. Xethalis, General Counsel and CCO, Multicoin Capital Management, LLC

BSA/AML/OFAC Sanctions

Date & Time: Thursday, May 5, 2:00 p.m. – 3:00 p.m. EDT

During this session, panelists will discuss:

• AML Act of 2020
• New age analytics to combat financial crime
• AML for federally regulated investment advisors
• FinCEN amendments to CDD
• Sanctions Compliance

Moderator: Pamela Kwiatkoski, SVP, BSA/AML Risk Management, PNC Financial Services
Speakers:

• Zachary Goldman, Partner, WilmerHale
• Joe Hill Jr., VP, AML Sanctions Group Manager, PNC Financial Services
• Samantha Welch, Partner, Financial Services