The rapidly evolving landscape of financial regulation, driven by advancements in Artificial Intelligence, cryptocurrency trading, and other innovations, presents significant challenges for legal and compliance professionals. To address these developments, Catholic Law’s Securities Law Program (SLP) hosted its Fourth Annual Conference, “Developments in the Regulation of Financial Products and Services,” on Friday, October 3, 2025. The event, co-sponsored by leading law firms Dechert LLP, K&L Gates LLP, Davis Polk, and Lowenstein Sandler LLP, brought together experts from the private securities bar and the financial industry. Attendees, both in-person and remote, had the opportunity to earn Continuing Legal Education (CLE) credits while hearing from panel experts discussing critical regulatory topics.
The conference featured a robust agenda, beginning with welcoming remarks from SLP Director Jack W. Murphy. Panels throughout the day explored key issues such as mutual funds and ETFs, commodities and digital currencies, offshore developments, securities examinations and enforcement, and business and legal developments relating to mergers and acquisitions. Highlights included a luncheon address by Tara Buckley, Deputy General Counsel at the Investment Company Institute, on expanding retail investor access to private markets, and a closing reception in the law school’s atrium. With its diverse lineup of speakers and timely topics, the event underscored Catholic Law’s commitment to fostering dialogue and education on the forefront of securities regulation.
“As the SEC and other regulators take a different approach to regulation, lawyers must scramble to stay on top of changes in the law and the business,” said Jack Murphy, Director of the Securities Law Program. “The conference panels covered recent developments in a clear and concise manner, providing the attendees with a useful and practical summary of the current state of the law.”
Note: The full conference agenda, including panelists and session details, is listed 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
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:
Christopher Menconi '94, Partner, Morgan Lewis
Michael Spratt, Associate General Counsel, Investment Company Institute - 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
Joaquin Gubb, VP Capital Markets Legal, Crypto.com
Summer Mersinger ‘07, CEO, Blockchain Association; Former Commissioner, Commodity Futures Trading Commission - 12:00 p.m. – 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
- 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:
Rebecca Lee, Partner, Dechert LLP
Robert Shapiro, Partner, Dechert LLP - 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 - 3:30 p.m. – 3:50 p.m.
Break -
3:50 – 5:00 p.m.
Panelists:
Mergers & Acquisitions
Moderator: Brendan Koeth '13, Partner, Lowenstein Sandler LLP
Student Panelist: Edward Reddington
Trevor Levine, Counsel, Lowenstein Sandler LLP
Charles Sommers, Partner, Sidley -
5:00 p.m.
Reception in Atrium