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Ethics for Financial Industry Lawyers 2021


Speaker(s): Ashley Gillespie, N. Adele Hogan
Recorded on: Mar. 10, 2021
PLI Program #: 306421

Adele Hogan represents clients in mergers, securities offerings, restructuring, bankruptcies, and projects for early stage and large companies in all industries, including financial institutions (banks, private equity funds, hedge funds, venture capital, insurance, alternative assets, broker dealers); TMT (technology, media, and telecom); healthcare (pharmaceutical, biotech, medical devices, telemedicine); leisure (hotels, gaming); energy & mining; transportation (air, auto, rail, shipping); and FinTech (technology, blockchain, cryptocurrencies, trading platforms, exchanges). Ms. Hogan conducts due diligence, drafts, negotiates, advises on risk, and structures deals.

Ms. Hogan has led the corporate side for either the debtor or a credit committee work for more than 30 bankruptcies. She has also led many restructurings, including public debt consent solicitations, credit agreement amendments, and overseeing portions of restructurings of foreign banks in the areas of capital and liquidity and sales of more than $100 billion of risk weighted assets, representing clients netting derivatives and payment obligations in the Lehman bankruptcy. She drafts prepackaged bankruptcy plans, backstops, DIP documentation, bank/bond/equity financings, and litigation documents and does investigations on preferences, zones of insolvency and asset tracing. She has also led distressed public and private company M&A and 363 sales.

Ms. Hogan has experience leading Governance, Risk, and Compliance (GRC) policies and controls projects, including data privacy, data governance and cybersecurity. She has led anti-money laundering (AML), OFAC, fraud, FCPA, derivatives, foreign exchange and Libor matters. She has closed more than $200 billion in deals. She has served as a partner at several international law firms and in-house.

Cornell University BA, Cornell Law School JD. Admitted in New York, Texas and U.S. Supreme Court. 


Ashley Gillespie is an Executive Director at Morgan Stanley in New York.  He is the principal business lead in achieving the company’s investment management clients’ derivatives goals through a combination of legal, documentation, strategic advice, and risk management solutions.  Ashley has 15 years of in-depth knowledge and multiple years of work experience in the businesses and operations of each of the buy and sell-sides of the financial services industry, including five years as a structured finance/securitization attorney at Sidley Austin.  A seasoned expert in implementing global post-crisis reform regulations such as Dodd-Frank and European Market Infrastructure Reform (EMIR), Ashley is uniquely capable of executing at the crossroads of client business and legal needs today.  Ashley earned his J.D. and M.B.A. degrees in the joint-degree program at Cornell University, and his B.A. (Political Science) from the University of Houston.  He is a member of the New York bar and holds FINRA Series 7 and Series 63 broker licenses.  Ashley enlisted in the U.S. Army at 17 years of age and served 3½ years as a tactical communications soldier stationed in then West Germany with V “Victory” Corps.