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Event Details:                                                                                                                                                          

It’s no secret that over the last few years, the financial industry has been struggling under the weight of regulatory compliance issues. Recently, the Federal Energy Regulatory Commission has moved into this arena, bringing enforcement actions against several financial institutions including Barclays, Deutche Bank, and JP Morgan. Financial institutions, whether large or small, engaged in trading, generating, or transmitting electrical power are now under FERC’s stringent scrutiny. Once proved that they are in violation of FERC rules, financial institutions face large fines and hefty penalties. Finance executives, internal audit, legal, risk management and especially compliance officers will need to work closely with the organization’s governing board and corporate counsel to understand the organization’s policies and ensure that they are in compliance with FERC rules.

The Knowledge Group has assembled a panel of distinguished thought leaders and key regulator/s who will share their opinions in a two-hour teleconference and webinar. They will discuss the substantive issues relating to FERC’s enforcement actions in the financial industry along with practical guidance to develop and implement an effective compliance program. A live interaction with the audience in a question and answer format is also included in this event.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Advance Preparation: Print and review course materials
Course Code: 124401
Recording Fee: $299  (Please click here for details) 


Featured Speakers for FERC's Enforcement Actions in Banking and Finance LIVE Webcast :

Agenda  (click here to view more)

Lauren Rosenblatt , Chief, Branch 5, Division of Investigations,
Federal Energy Regulatory Commission, Office of Enforcement

  • • FERC's jurisdiction/the anti-manipulation regulation and how it applies to those trading in the energy markets
  • • The Commission speaks through its orders; settlements provide useful guidance
  • • How to respond to a FERC investigation

David T.Doot, Partner,
Day Pitney LLP

  • • What activities/behaviors can be targeted for investigation? (cross-product activity, cross-market activity, regulatory failures, communications, mistakes?)
  • • Who can be targeted for investigation? (companies, individuals, third parties)
  • • Beware narrow application. (relevance for your affiliates, customers, and other exposures)

Robert S. Fleishman , Of Counsel,
Covington & Burling LLP
  • • Is FERC Enforcement really targeting banks/financial institutions and, if so, why?
  • • Are FERC Enforcement actions involving banks/financial institutions different than those involving other market participants?
  • • What are the lessons learned from FERC Enforcement actions involving banks/financial institutions?

Lilly Goldman, CFA, Senior Consultant,
NERA Economic Consulting

  • • Be ready to respond: the importance of complete, accurate, and accessible trading records
  • • Understand what the data show: trading data analyses for FERC’s investigations and the client’s independent review
  • • Use data records to make the case: Turning trading and market data into compelling economic analysis in a regulatory investigation

Jeffrey M. Jakubiak , Partner,
Troutman Sanders

  • • An ounce of prevention is worth many pounds of cure
  • • Be present, be vigilant, be proactive
  • • Document, document, document (then document some more)
  • • Know thy regulator (how could these transactions be viewed in the worst way possible?)

Federal Energy Regulatory Commission, Office of Enforcement
Lauren Rosenblatt
Chief, Branch 5, Division of Investigations
speaker bio »»

Day Pitney LLP
David T. Doot
speaker bio »»

Covington & Burling LLP
Robert S. Fleishman
Of Counsel
speaker bio »»

NERA Economic Consulting
Lilly Goldman, CFA
Senior Consultant
speaker bio »»

Troutman Sanders
Jeffrey M. Jakubiak
speaker bio »»

Who Should Attend?

- C-Levels
- Compliance and Risk Officers
- Bank and Financial Institution Executives
- Bank and Financial Institution Auditors
- Banking Lawyers & Consultants
- Fraud Monitoring
- Business Analysts
- And Other Interested Professionals

Why Attend?

This is a must attend event for anyone interested in learning the latest and significant issues on FERC’s enforcement actions in banking and finance.

- New guidance explained by the most qualified key leaders & experts.
- Hear directly from key regulators & thought leaders.
- Interact directly with panel during Q&A.

Click the “Register” button below to enroll in this course. Hurry as space is limited. Significant discounts apply for early registrants.

Registration Information:                                                                                                                                    

(Click here for information on group registrations and discounts)

** Discounts apply for early registration

Please note, the event date is firm although it may be subject to change. Please click here for details.
The Knowledge Group, LLC is producing this event for information purposes only. We do not intend to provide or offer business advice. The contents of this event are based upon the opinions of our speakers. The Knowledge Congress does not warrant their accuracy and completeness. The statements made by them are based on their independent opinions and does not necessarily reflect that of The Knowledge Congress' views. In no event shall The Knowledge Congress be liable to any person or business entity for any special, direct, indirect, punitive, incidental or consequential damages as a result of any information gathered from this webcast.

























FERC's Enforcement Actions in Banking and Finance
LIVE Webcast
Agency and Partner Firms:

Federal Energy Regulatory Commission, Office of Enforcement

Day Pitney LLP

Day Pitney LLP ( is a leading full-service law firm committed to the highest standards of client service and high-value legal representation. With more than 300 attorneys in nine offices across the Eastern Seaboard, including New York, Boston and Washington, DC, the firm is committed to diversity, innovation, accessibility and transparency in the service of its clients.

Day Pitney is nationally recognized for its energy and utility practices. Representing a diverse group of clients across the nation and around the world, the firm’s lawyers develop and implement practical solutions to the complex challenges confronting the energy and utility industries. Day Pitney’s clients include debt and equity investors; electric, gas, and water utilities; generators, transmitters, load serving entities, and marketers; renewable energy project developers and hosts; and other energy and utility market participants.

Covington & Burling LLP is a leading international law firm of 800 lawyers. Our energy industry team represents energy clients in enforcement, corporate, legislative, and regulatory matters.

NERA Economic Consulting ( is a global firm of experts dedicated to applying economic, finance, and quantitative principles to complex business and legal challenges. For over half a century, NERA’s economists have been creating strategies, studies, reports, expert testimony, and policy recommendations for government authorities and the world’s leading law firms and corporations. With its main office in New York City, NERA serves clients from more than 20 offices across North America, Europe, and Asia Pacific.

Troutman Sanders LLP is an international law firm with more than 600 lawyers and offices located throughout the United States and China. Founded in 1897, the firm’s heritage of extensive experience, exceptional responsiveness and an unwavering commitment to service has garnered strong, long-standing relationships with clients across the globe. Troutman Sanders began serving clients in the energy business in the 1920s. Our long-standing familiarity with the industry, and our cutting-edge representations over the years, have made the firm’s Energy Practice Group the leading provider of legal services to the energy and utility industries worldwide. Over the years, we have been engaged by electric and natural gas utilities on virtually every aspect of their businesses, including mergers, divestitures, investigations, audits, rate filings, and litigation. The firm’s clients include electric utilities, independent generators and power marketers, natural gas pipelines, local distribution companies, energy commodity shippers, renewable energy suppliers, energy funds, banks and other financial institutions and investors.


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Attention New York Attorneys:

This program is approved for CLE credit under New York’s Approved Jurisdiction policy. The Knowledge Group, LLC is an approved sponsor in the state of California, a New York Approved Jurisdiction. This program fulfills the non-traditional format requirement of exceeding 60 minutes in length. Please note only experienced attorneys (more than 2 years) are eligible to receive CLE credit via non-traditional format learning platforms. The Knowledge Group will verify attendance during the webcast via secret words (3 per credit hour) and by auditing attendees log in and log out records. All verification instructions will be provided during the webcast. Once attendance verification requirements have been completed, the attendee will be issued a certificate of attendance be The Knowledge Group for the course with the recommended number of credit hours. The Certificate of Attendance is normally sent via email in 24 hours or less.

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