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Join Baker McKenzie regulatory and enforcement practitioners as we navigate this uncertain time and work together through the challenges ahead. We offer practical advice and real-time analysis of the changing landscape across the United States, Europe and Asia.

June 11, 2020
Sustainability Finance: The Current State of Play in the United States
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Speakers: Peter Chan, Amy Greer, Jonathan Hoffman, Julian Hui, Jennifer Klass and Caitlin McErlane

May 28, 2020
Regulators Begin Active Response to COVID-19
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Speakers: Peter Chan, Amy Greer, Jennifer Klass and Jeffrey Sturgeon

May 14, 2020
Regulatory Updates with Our Colleagues in Asia
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Speakers: Jennifer Connors, Karl Egbert, Amy Greer, Stephanie Magnus, Karen Man and Mark Simpson

May 7, 2020
Trading Through a Crisis
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Speakers: Jennifer Connors, Karl Egbert, Mark Fitterman, Amy Greer, Caitlin McErlane and Mark Simpson

April 30, 2020
The Reopening Playbook – Featuring Partners from our Employment & Compensation Practice
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Speakers: Michael Brewer, William Dugan, Susan Eandi, Emily Harbison and Robin Samuel

April 23, 2020
Disclosure in the Time of COVID-19

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Speakers: Peter Chan, Amy Greer, Jennifer Klass, Caitlin McErlane, Nick O’Donnell, Mark Simpson and Jerome Tomas

April 16, 2020
Reg BI and Form CRS: Closing in on June 30th

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Speakers: Jennifer Connors, Amy Greer, Jennifer Klass and Valerie Mirko

April 9, 2020
Cybersecurity and Data Protection in a Remote Work Environment

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Speakers: Jennifer Connors, Amy Greer, Brian Hengesbaugh, Caitlin McErlane, Valerie Mirko, Mark Simpson, Benjamin Slinn and Harry Valetk

April 2, 2020
Recent Regulatory Developments & Looking Back on 2008: What Lessons Can We Learn from the Last Crisis?

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Speakers: Peter Chan, Amy Greer, Jennifer Klass, Caitlin McErlane, Valerie Mirko and Mark Simpson

March 26, 2020
Business Continuity for Firms and Regulators, Managing Market Volatility and Fund Manager Redemptions

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Speakers: Peter Chan, Karl Egbert, Amy Greer, Jennifer Klass, Caitlin McErlane, Valerie Mirko and Mark Simpson

Author

Jennifer L. Klass serves as the Co-chair of Baker McKenzie's Financial Regulation and Enforcement Practice in North America. Jen is an experienced investment management lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. She regularly represents clients before the US Securities and Exchange Commission (SEC), both in seeking interpretative guidance and in managing examination and enforcement matters. Jen is a leading practitioner in digital investment advice and the use of FinTech in the asset management industry. Jen provides practical advice that is informed by her experience as Vice President and Associate Counsel at Goldman, Sachs & Co., where she represented the asset management and private wealth management businesses.

Author

A. Valerie Mirko is a partner in Baker McKenzie’s Financial Regulation and Enforcement Practice Group in North America. Valerie has substantial experience in federal and state securities laws and regulations affecting the financial services industry, with a focus on the investment adviser and brokerage industries. Valerie has a background in both regulatory advice and enforcement counseling. Immediately prior to joining the Firm, Valerie was General Counsel of the North American Securities Administrators Association (NASAA). As General Counsel, Valerie advised NASAA’s Board of Directors on developments in the federal securities laws and their impact on state securities regulations. Valerie provided advice on, among other areas, the SEC Regulation Best Interest rule set, fiduciary duty/standards of care, preemption, retail enforcement issues, investment adviser oversight, and data privacy. She also supervised all of NASAA's securities-related legal work and was a resource on multistate enforcement investigations and settlements. Valerie also provided governance support on key NASAA Regtech projects and regulatory coordination initiatives between state and federal regulators. Valerie was a frequent speaker at regulator-only roundtables and training events. Earlier in her career, Valerie advised broker-dealers and investment advisers on regulatory matters and enforcement investigations as an associate at a Washington law firm and held legal and compliance roles at Oppenheimer & Co., Inc., and Merrill Lynch (now BofA Securities). Valerie is currently a member of the adjunct faculty at the George Washington University Law School and a subcommittee chair within the DC Bar Corporation, Finance, and Securities Law Community.

Author

Jennifer Connors is a partner in Baker McKenzie's Financial Regulation and Enforcement Practice Group. She represents broker-dealers, investment advisers, alternative trading systems (ATSs), private fund managers, financial technology (FinTech) companies and other market participants on securities law and market regulation matters.

Author

Karl Paulson Egbert advises asset managers and their funds on regulatory, corporate and derivatives matters. Karl is a member of the Firm's North American Financial Institutions Steering Committee. Karl has practiced in New York, London, Hong Kong and Washington, D.C., working on fund formation, listed funds, private equity and capital markets transactions. Karl has spoken at various industry seminars on a wide range of topics including access to Chinese securities markets (Stock Connect, QFII, RQFII, CIBM), and other regulatory issues for investment managers. He is regularly quoted in publications including the Financial Times, the South China Morning Post, Ignites Asia, Asian Venture Capital Journal and Reuters. He is an adjunct professor of Law at the Georgetown University Law Center.