Senior Partner Adam Hakki (New York-Litigation) and partners Jennifer D. Morton (New York-Financial Institutions Advisory & Financial Regulatory), Sara N. Raisner (New York-Litigation) and Adam B. Schwartz (Washington, D.C.-Litigation) served as faculty members at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society Annual Seminar from March 17–20, 2024. The conference faculty is comprised of prominent litigators, government regulators and in-house litigation and compliance experts from major financial institutions.

Adam Hakki served as a panelist on a session titled “Civil Litigation Developments: Securities Class Actions and Other Significant Litigation” on Monday, March 18. The program covered numerous topics, including:

• Developments in Aiding and Abetting Liability
• On the Heels of ESG Enforcement Actions—What is Expected on the Litigation Front
• What is a Security Under Reves and Howey—Syndicated Term Loans and Crypto
• Section 11 Standing and Traceability; Pirani v. Slack
• Developments in Delaware
• Event Driven Litigations Continue
• Section 303 and the Supreme Court’s Review in Macquarie
• The Long Journey Ends for Goldman—CDO Class Action Decertified
• Predictions in the AI landscape

Jennifer D. Morton served as a panelist on a session titled “Current Compliance Issues in Investment Banking” on Monday, March 18. The program covered numerous topics, including:

• Managing Conflicts of Interest
• Protection of Confidential / MNP Information
• Issues in Connection with Securities Offerings
• Development of AI Usage and the Compliance Considerations Raised

Sara N. Raisner served as a panelist on a session titled “Will You Take the Blue Pill? Or the Red Pill?: Deciding Whether to Litigate or Settle in Enforcement Matters Against Firms and Individuals” on Tuesday, March 19. The program will covered numerous topics, including:

• Financial Institutions that Have Gone the Extra Mile to Litigate
• What Should You Think About When Deciding to Litigate Versus Settle
• How to Maintain a Constructive Relationship With Your Regulator and Key Stakeholders While Litigating
• Managing Potential Conflicts and Misalignment With Current and Former Employees

Adam B. Schwartz served as a panelist on a session titled “ESG - Litigation, Enforcement and Shifting Political Tides” on Tuesday, March 19. The program covered numerous topics, including:

• Trapped in the Middle: Navigating the Politics of ESG and the Legal Landscape
• The Rise (and Fall) of State Anti-Boycott Statutes
• Financial Institutions Caught in the Crossfire: ESG Enforcement, Litigation, and the Challenges Ahead
• The Emissions Dilemma: Evolving Disclosure Requirements in the U.S. and Abroad