2006 Treasury and Capital Markets
Legal and Legislative Issues Conference

November 2-3, 2006 | Sheraton Four Points | Washington, D.C.

8:45 – 10:15 am
BANKING GENERAL COUNSELS

Scott G. Alvarez
General Counsel
Board of Governors of the Federal Reserve System
Washington, DC

John E. Bowman
Chief Counsel
Office of Thrift Supervision
Washington, DC

William F. Kroener III
General Counsel
Federal Deposit Insurance Corporation
Washington, DC

Daniel P. Stipano
Deputy Chief Counsel
Office of the Comptroller of the Currency
Washington, DC

10:25 – 11:25 am

CURRENT DEVELOPMENTS

Push Out Issues | Bank Trading Activities | Anti-Tying/Affiliate Transaction Developments | Asset Management | International Linkages | Private Equity and Corporate Finance

Robert L. Tortoriello
Partner
Cleary, Gottlieb, Steen & Hamilton
New York, New York

11:25 am – 12:25 pm

INFORMATION SECURITY AND DATA PROTECTION

Federal and State Security and Security Breach Notification Requirements | Identity Fraud v.Account Fraud and Who Should Notify | Practical Problems in Dealing with Security Breaches

David L. Cavicke (Invited)
Chief Counsel for Commerce, Trade and Consumer Protection
General Counsel
House Committee on Energy and Commerce
Washington, DC

Oliver I. Ireland
Partner/Financial Services
Morrison & Foerster LLP
Washington, DC

Kathryn D. Kohler
Assistant General Counsel
Bank of America Corporation
Charlotte, North Carolina

12:25 – 12:55 pm Deli Lunch

12:55 – 1:55 pm

LEGISLATIVE PANEL

Representatives will address key legislation in their respective committees during the remainder of the 109th Congress and likely priorities during the 110th.

Carter K. McDowell
Chief Counsel
House Financial Services Committee
Washington, DC

Additional Speakers to be Announced

2:05 – 2:50 pm

CRISIS MANAGEMENT

Crisis Management Process Principles | Crisis Planning and Anticipation | Crisis Resolution | Managing Relationships with Shareholders, the Media, the Public, Analysts and Regulators | The Importance of Independent Review and Investigation

Charles F. Bowman
Principal Compliance Executive
Bank of America
Charlotte, North Carolina

Douglas E. Harris
Managing Director
Promontory Financial Group, LLC
New York, New York

2:55 – 3:40 pm

CURRENT TRENDS IN ENFORCEMENT ACTIONS

Actions by Regulators | Worldcom

Glenn C. Colton
Partner/Securities & Commercial Litigation and White Collar Criminal Defense
Wilson Sonsini Goodrich & Rosati
New York, New York

David Futterman
Associate General Counsel
Bank of America Corporation
New York, New York

David A. Weintraub
Managing Director
Bear, Stearns & Co. Inc.
New York, New York

3:50 – 4:50 pm

DEVELOPMENTS IN SECURITIES OFFERINGS

1933 Act Reforms | Regulation AB

Anna H. Glick
Partner/Capital Markets
Cadwalader, Wickersham & Taft LLP
New York, New York

Michael Kaplan
Partner/Capital Markets
Davis Polk & Wardwell
New York, New York

Isaac Osaki
Associate General Counsel
Banc of America Securities LLC
New York, New York

5:00 – 6:00 pm

DERIVATIVES AND COMPLEX STRUCTURED TRANSACTIONS

Update on Interagency Statement on Complex Structured Finance | Recent OCC Interpretive Letters on: Bank Products with Embedded Derivatives, Financial Intermediation of Commodities, Electricity and Derivatives, and Risk Management | Basel II Treatment of Derivatives | Derivatives Under the New Bankruptcy Code

Conrad G. Bahlke
Partner
Weil, Gotshal & Manges, LLP
New York, New York

Ellen Broadman
Director/Securities and Corporate Practices Division
Office of the Comptroller of the Currency
Washington, DC

Isaac Lustgarten
Partner/Financial Services Regulation
McDermott, Will & Emery LLP
New York, New York

6:00 – 7:00 pm Reception (Sponsored by The Secura Group)

9:00 – 10:00 am

SECURITIES/COMMODITIES GENERAL COUNSELS

Patrick J. McCarty (Invited)
General Counsel
Commodity Futures Trading Commission
Washington, DC

Representative (Invited)
U.S. Securities and Exchange Commission
Washington, DC

10:15 – 11:15 am

BANK SECRECY ACT / ANTI-MONEY LAUNDERING AND RELATED DEVELOPMENTS

Regulatory Developments in the U.S. and Abroad Relating to Anti-Money Laundering Enforcement | Best Practices in Financial Institutions to Keep Pace with Evolving Regulatory Expectations and Increasingly Sophisticated Criminal Conduct | Protecting Your Institution in the Current Regulatory Environment

Elizabeth T. Davy
Partner/Financial Institutions Group
Sullivan & Cromwell LLP
New York, New York

Michael A. Dawson
Managing Director
Promontory Financial Group, LLC
Washington, DC

Representative (Invited)
Financial Crimes Enforcement Network
Vienna, Virginia

11:30 am – 1:15 pm

SEC DIVISION REPORTS

Antonia Chion
Associate Director/Division of Enforcement

Mary Ann Gadziala
Associate Director/OCIE

Jennifer B. McHugh (Invited)
Senior Advisor to the Director Division of Investment Management

Linda Stamp Sundberg (Invited)
Senior Special Counsel - Banking and Derivatives/Office of the Chief Counsel, Division of Market Regulation Representative/Division of Corporation Finance

1:15 pm Adjournment

All sessions are closed to the press.

FMA reserves the right to amend program content without prior notification.