Developments in the Regulation of Financial Products and Services Conference
The area of financial regulation continues to evolve rapidly as regulators and the financial industry grapple with developments relating to Artificial Intelligence, offering and trading in Cryptocurrencies, and dozens of other changes. Moreover, the SEC, under the leadership of Chairman Atkins, is proceeding in a new direction, modifying or repealing many of the positions taken by the previous administration. Lawyers and compliance officers are tasked with keeping up with changes and developments so that they can advise and help their clients comply with ever-changing requirements.
On Friday, October 3, 2025, Catholic Law’s Securities Law Program (SLP) will sponsor “Developments in the Regulation of Financial Products and Services”, SLP’s Fourth Annual Conference. The conference will feature panels of experts representing the private securities bar, the regulatory agencies and the financial industry. Co-sponsored by Dechert LLP, K&L Gates LLP, Davis Polk, and Lowenstein Sandler LLP, the conference is directed toward a broad audience from within the legal community and will offer both in-person and remote options for attendance. An application will be made to enable attendees to earn Continuing Legal Education (CLE) credits. A luncheon, hosted in the law school’s Louise H. Keelty and James Keelty, Jr. Atrium and marked by a lunchtime address, will be provided to those attending in person.
Persons interested in more information should e-mail Renee Stack, Associate Director of Conferences & Events, Columbus School of Law at rasmussenr@cua.edu.
Registration has closed. However, if you have not registered and would like to attend virtually, the zoom link is below.
When and Where:
The Conference will be held on October 3, 2025, from 9:00 a.m. to 5:00 p.m. in the William J. Byron S.J. Auditorium at the Columbus School of Law and will be followed by a reception in the Keelty Atrium. Attendees will have the option to attend in person or remotely through Zoom. Lunch will be provided for those attending the conference in person.
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(Information regarding Program Materials and CLE credit is noted below.)
Agenda:
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8:30 a.m. – 9:00 a.m.
Registration and Check-In - 9:00 a.m. – 9:10 a.m.
Welcoming Remarks
Stephen C. Payne, Dean, The Catholic University of America Columbus School of Law
Jack W. Murphy, Director, Securities Law Program - 9:10 am – 10:20 am
Mutual Funds and ETFs
Moderator: Mark C. Amorosi '94, Partner, K&L Gates LLP
Student Panelist: Atticus Keane
Panelists:
Andrea Ottomanelli Magovern '04, Assistant Director, U.S. Securities and Exchange Commission
Christopher Menconi '94, Partner, Morgan Lewis
Michael Spratt, Associate General Counsel, Investment Company Institute
- - Click here to download a word file containing the speaker bios from this panel. - 10:20 am – 10:40 am
Break - 10:40 am – 12:00 pm
Commodities, Derivatives, and Digital Currencies (Cryptocurrencies)
Moderator: Patrick McCarty '86, Adjunct Professor – Derivatives Seminar; Digital Asset/Cryptocurrency
Student Panelist: Audrey Anderle
Panelists:
Kevin Batteh, Partner and General Counsel, Delta Strategy Group
Steve Humenik '99, Global Head of Derivatives/Legal, Crypto.com
Summer Mersinger ‘07, CEO, Blockchain Association; Former Commissioner, Commodity Futures Trading Commission
Kevin Webb, Senior Special Counsel, Commodity Futures Trading Commission; currently detailed to the Committee on Agriculture, Nutrition & Forestry, United States Senate
- - Click here to download a word file containing the speaker bios from this panel. - 12:00 p.m. – 1:00 p.m.
(Please note - those attending via Zoom - that the broadcast will pause during lunch and return at 1:00 p.m.)
Lunch in Atrium
- 12:30 p.m. – 12:50 p.m.
Expanding Retail Investor Access to Private Markets:
The Role of the Investment Company Act of 1940
Luncheon Speaker: Tara Buckley ‘99, Deputy General Counsel, Investment Company Institute
- - Click here to download a word file containing Buckley's bio.
- 12:30 p.m. – 12:50 p.m.
- 1:00 p.m. – 2:15 p.m.
Offshore Developments
Moderator: Allison Trumbull, Counsel, Dechert LLP
Student Panelist: Ethan Miletich
Panelists:
Scott Jameson, Senior Counsel, U.S. Securities and Exchange Commission
Rebecca Lee, Partner, Dechert LLP
Robert Shapiro, Partner, Dechert LLP
- - Click here to download a word file containing the speaker bios from this panel. - 2:15 p.m. – 3:30 p.m.
Examinations and Enforcement of the Federal Securities Laws
Moderator: Matthew I. Haddadin, Counsel, Davis Polk
Student Panelist: Julia Miles
Panelists:
James Dolan '96, Chief Compliance Officer, LeveL Markets LLC
Kenneth Fang, Associate General Counsel, Investment Company Institute
Fiona Moran, Partner, Davis Polk
- - Click here to download a word file containing the speaker bios from this panel. - 3:30 p.m. – 3:50 p.m.
Break -
3:50 – 5:00 p.m.
Student Panelist: Edward Reddington
Mergers & Acquisitions
Moderator: Brendan Koeth '13, Partner, Lowenstein Sandler LLP
Panelists:
Trevor Levine, Counsel, Lowenstein Sandler LLP
Charles Sommers, Partner, Sidley
- - Click here to download a word file containing the speaker bios from this panel.
Program Materials
Program materials will be available here for download.
CLE Information
CLE information will be available here upon approval.
Please note that if the program runs shorter (or longer) than originally planned, CLE credits will be adjusted accordingly.
CLE Paperwork: Program materials will be available via a zip file here.
By registering for this event, you submit your information to the event organizers The Catholic University of America, Dechert LLP, K&L Gates LLP, David Polk, and Lowenstein Sandler (together the “Co-sponsors”). Your information will be used by the Co-sponsors to communicate with you to administer the event and further in line with our respective privacy notices accessed by clicking here: K&L Gates privacy notice; Dechert privacy notice; Davis Polk privacy notice; Lowenstein Sandler privacy notice; and Catholic University's privacy notice.