PRESS RELEASE
26 March 2025

2025 SIFMA C&L Annual Seminar

KM
Katten Muchin Rosenman LLP

Contributor

Katten is a firm of first choice for clients seeking sophisticated, high-value legal services globally. Our nationally and internationally recognized practices include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth.
Two Katten attorneys will participate in the SIFMA C&L Annual Seminar, taking place on March 23–26. On Monday, March 24, Financial Markets Litigation and Enforcement Partner David Goldberg...
United States

Two Katten attorneys will participate in the SIFMA C&L Annual Seminar, taking place on March 23–26. On Monday, March 24, Financial Markets Litigation and Enforcement Partner David Goldberg will speak on the "Inside Out: Best Practices for Managing In-House Legal & Compliance Departments" panel at 10:05 a.m. Panelists will discuss topics including:

  • Leveraging technology and AI to support internal legal and compliance teams
  • How legal and compliance work best together (e.g., board matters, overall risk reduction, sanctions)
  • Global firms: best practices for managing integrated legal and compliance teams across geographical regions (e.g., function centralization, regional regulators, offshore teams)
  • Vendor relationships
  • Understanding, prioritizing and managing BCP/resiliency for critical vendors
  • Hiring consultants can be painful: when does it really make sense?
  • Outside counsel: expense management and best engagement practices

Financial Markets and Regulation Partner and Co-Chair Carl Kennedy will speak on the "Effective Oversight in Capital Markets: Supervision and Surveillance" panel at 11:10 a.m. on Tuesday, March 25. Panelists will discuss topics including:

  • Roles and responsibilities — 1LoD vs. 2LoD
  • Supervision — adequacy of procedures, systems and controls to detect/prevent misconduct
  • Surveillance and data – quality, availability (including alternative data sources) and usage
  • New market surveillance technologies: the role of advanced technologies like AI and machine learning in enhancing market surveillance and detecting fraudulent activities
  • Cross-border supervision challenges: addressing the complexities of supervising teams, capital flows and market activities across borders

Learn more about the SIFMA C&L Annual Seminar.

Contributor

Katten is a firm of first choice for clients seeking sophisticated, high-value legal services globally. Our nationally and internationally recognized practices include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth.

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