The Catholic University of America Columbus School of Law (Catholic Law) hosted the Conference on Developments in the Regulation of Financial Products Friday, September 29, with the sponsorship and support of Catholic Law’s Securities Law Program (SLP), as well as that of Dechert LLP, Goodwin Procter LLP, and K&L Gates LLP. Coordinated by SLP director Jack W. Murphy, the conference—offered in person in the Walter A. Slowinski Courtroom and remotely via Zoom—was open to guests and professionals as well as Catholic Law faculty, staff, and students. Additionally, eligible attendees were able to obtain continuing legal education (CLE) credits.
Dean Stephen Payne opened the proceedings with a few words of welcome, and Professor Murphy provided a brief introduction of the topic. The remainder of the day included six moderated panel discussions and a luncheon, with panelists representing the investment management industry, the private bar, the Securities and Exchange Commission, the Commodity Futures Trading Commission, and Catholic Law students representing the Securities Law Program.
Panel 1: Examinations and Enforcement of the Federal Securities Laws
Moderator: James Catano '11, Partner, Dechert LLP; Adjunct Professor – Mutual Funds & Investment Advisers
Student Panelist: Jocelyn Near (4E), Securities Law Program
Panelists: Natasha V. Greiner '01, Interim Acting Co-Director, Division of Examinations, Securities and Exchange Commission; Jack Delaney '09, Chief Compliance Officer, Mason Investment Advisory Services, Inc.; Kevin Gleason, Chief Compliance Officer, Mainstay Funds and IndexIQ ETFs; Anthony Kelly, Partner, Dechert LLP
Panel 2: Registered Funds and ETFs
Moderator: Mark C. Amorosi '94, Partner, K&L Gates LLP
Student Panelist: Giezi Rios (3L), Securities Law Program
Panelists: Thoreau Bartmann, Co-Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission; Adjunct Professor – Mutual Funds & Investment Advisers; Matthew Thornton, Associate General Counsel, Investment Company Institute (ICI); Amy Pershkow '99, Partner, VedderPrice
Panel 3: Digital Currencies (Cryptocurrencies)
Moderator: Jonathan H. Hecht, Partner, Goodwin Procter LLP
Student Panelist: Nick D’Addio (3L), Securities Law Program
Panelists: Steve Humenik '99, Global Head of Derivatives/Legal, Crypto.com; Kevin Webb, Senior Special Counsel, Commodity Futures Trading Commission; Detailee, U.S. House Agriculture Committee
Panel 4: Hedge Funds and Private Equity Funds
Moderator: David W. Blass, Partner, Simpson Thacher & Bartlett LLP; Adjunct Professor – Advanced Securities Law
Student Panelist: Catherine Cook (3L), Securities Law Program
Panelists: Neal Prunier, Senior Director, Industry Affairs, Institutional Limited Partners Association (ILPA); Rebekah Goshorn Jurata, General Counsel, American Investment Council (AIC)
Panel 5: Offshore Funds and Investment Products
Moderator: Christopher Christian '98, Partner, Dechert LLP
Student Panelist: Julia O’Toole (3L), Securities Law Program
Panelists: Eva Mykolenko, Associate Chief Counsel, ICI Global; JP Saulnier, Associate General Counsel, GQG Partners
Panel 6: Commodity Futures and Derivatives
Moderator: Patrick McCarty '86, Of Counsel, Ruddy Gregory PLLC; Adjunct Professor –Derivatives Seminar, Digital Asset Seminar
Student Panelist: Kalkidan Ezra (3L), Securities Law Program
Panelists: Daniel Waldman, Former Partner, Arnold & Porter; Peter Malyshev, Partner, Cadwalader
Final remarks concluded the conference. Special thanks were given to the Securities Law Program, Dechert LLP, Goodwin Procter LLP, and K&L Gates LLP for partnering together to put on the conference, as well as to each of the panelists and attendees for their time. Those attending the conference in person were then invited to Louise H. Keelty and James Keelty, Jr. Atrium for a reception.