Legal Considerations for a Financial Services Firm: Webinar Series

Schedule

Understanding legal nuances is crucial to creating successful business strategies in the financial services industry, as it ensures compliance with regulations, mitigates legal risks, and facilitates informed decision-making.

Join us for an enlightening four-part webinar series, led by a distinguished team of Harter Secrest and Emery attorneys, who will delve into essential legal considerations in the financial services industry. From deciphering the complexities of the transaction process to grasping regulatory compliance, labor law implications, and safeguarding data privacy—each session is designed to equip you with indispensable insights to refine your business strategies.

Don’t overlook this invaluable opportunity to glean wisdom from seasoned professionals, adept at navigating the intricate landscape of the financial services industry.

The Sale or Purchase Process - April 25, 2024

This insightful webinar featured HSE Corporate attorneys Thomas R. Anderson, Jonathan R. Jasinski, and Karthik N. Sekharan as the team explored the intricacies of preparing for and navigating the sale process, with a specialized focus on the transaction of buying or selling a financial services firm. We were honored to welcome John D. Hawkins, Senior Vice President of Business Development and Timothy C. Minneci, Executive Vice President & Managing Director at Paramax Corporation, who shared invaluable insights from an investment bank’s perspective on the M&A process and the current market landscape for financial services firms.

Speakers

Regulatory and Insurance Matters - May 2, 2024

In the second webinar of our series, HSE attorneys Jerauld E. Brydges, Lauren R. Mendolera, and Jonathan R. Jasinski will discuss how to prepare for a rainy day when a claimant may knock on your door, including key items to look out for in your insurance policies, and how these items may affect an eventual sale process. We will also discuss the M&A indemnity process, customer complaints, and what to expect regarding claims following a deal.

Speakers

Employment Law Considerations for a Financial Services Firm - May 9, 2024

In this session, HSE partner and labor and employment attorney Benjamin E. Mudrick will provide insight into how New York employment law affects the financial services industry. Topics covered will include, among other things, the emerging non-compete and non-solicitation landscape, the evolving rules related to classification of independent contractors versus employees, and complex wage and hour issues.

Speaker

Navigating Privacy & Data Security Challenges - May 16, 2024

In today’s digital age, safeguarding sensitive information is paramount for financial institutions. Join us for the fourth installment of our webinar series, where HSE partners F. Paul Greene and Daniel J. Altieri will provide comprehensive advice on navigating the intricate landscape of privacy and data security considerations in the financial services industry. This session will delve into essential topics such as data privacy regulations, cybersecurity protocols, and best practices—equipping you with the knowledge to effectively mitigate risks and protect confidential data in an increasingly digital environment.