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Financial Services Industry Regulatory Compliance & Ethics Forum 2013


Speaker(s): Allegra J. Lawrence-Hardy, Andrew M. Calamari, Brian C. Loutrel, Clifford E. Kirsch, Kathryn S. Reimann, Lisa M. Belle, Patricia M. Zweibel, Peter Feeley, Sharie A. Brown, Sung-Hee Suh, Tanya L. Forsheit
Recorded on: Oct. 30, 2013
PLI Program #: 43255

Lisa Belle is the Head of Financial Crime Advisory for Barclays Wealth Americas, the wealth management division of Barclays Capital Inc. This role includes coverage of Barclays Wealth Trustees, a Delaware based trust company. Lisa covers compliance with U.S. & UK AML, Sanctions and Anti-Bribery and Corruption laws. Prior to taking her current position in 2010, she was an Associate General Counsel for Citi, covering AML and FCPA matters in wealth management and capital markets. Subsequent to Cit, Lisa was a Deputy Head of AML Compliance at UBS Investment Bank in New York. Her experience also includes 5 years at Anderson Consulting/Accenture in the Financial Services practice.
 
Lisa graduated from Miami University in Oxford Ohio and received her JD from Case Western Reserve University in 1995. She also received an MBA from Cleveland State's Nance College of Business. She is a member of the AML Committee of the Securities Industry Financial Markets Association (SIFMA) and the Ohio bar.


Allegra Lawrence-Hardy, a member of Sutherland's Litigation Practice Group and co-leader of the Business and Commercial Litigation team, has extensive experience handling complex multi-party, multi-jurisdictional commercial and labor and employment matters. She has successfully defended primarily Fortune 100 companies throughout the United States and abroad in numerous trials, arbitrations and other forms of alternative dispute resolution. Allegra has extensive experience negotiating complex settlements and finding creative solutions. She is regularly quoted in the media as a leading practitioner in her field. She also is a member of the firm's Executive Committee.

Allegra has received various honors and awards, including being recognized by Chambers USA: Guide to Leading Business Lawyers and Best Lawyers in America. She also was named to the National Bar Association and IMPACT's 2011 Nation's Best Advocates and is repeatedly listed as an Atlanta Magazine "Super Lawyer" and "Top 100 Lawyers," as well as among the "Legal Elite" by Georgia Trend magazine.

Before joining Sutherland in October 1997, Allegra served as a law clerk for the Honorable Susan H. Black of the U.S. Court of Appeals for the Eleventh Circuit.

For her complete biography, please visit www.sutherland.com/allegra_lawrence-hardy.


Pete Feeley currently serves as the Corporate Chief Compliance Officer for The Guardian Life Insurance Company of America. In this capacity, Pete is responsible for strategy setting and oversight of all of Guardian's compliance and business ethics program activities and initiatives, as well as providing guidance to the Board and senior management team on compliance related matters.
 
Previously, Pete was the Interim General Counsel / Senior Vice President, Business Law and Compliance for Lincoln Financial Group where his responsibilities included advising the CEO and his management team, as well as the Board and Audit Committee, on a broad range of legal, regulatory, compliance and public policy issues.
 
Earlier in his career, Pete held a variety of senior business, attorney and compliance roles at Prudential Financial, including Chief Operations Officer for the Company's Law, Compliance and Business Ethics Department. In that capacity, he was responsible for coordinating the Company's Compliance Plan submissions to the Audit Committee and the United States Attorney's Office.
 
Prior to joining Prudential, Pete was an attorney in private practice where he represented corporate clients on a variety of regulatory and litigation matters.
 
Pete holds a BA in Business Administration & Political Science from Rutgers College, a MS in Management from the New Jersey Institute of Technology and a JD, with Honors, from Seton Hall Law School. He is admitted to practice before the New Jersey and Pennsylvania state bars, as well as United States District Court for the District of New Jersey. He also previously held Series 6 and 26 FINRA registrations.


Cliff Kirsch began his career at the U.S. Securities and Exchange Commission (SEC), became chief legal officer for one of the country’s largest dually- registered broker-dealer/advisers and then joined Sutherland (now Eversheds Sutherland) in 2006. He relies on his regulatory and in- house background and an up-to-date knowledge of regulatory developments to provide practical and innovative counsel to broker-dealers and investment advisers in the areas of securities regulation and compliance.

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

While at the SEC, Cliff received the Manuel F. Cohen Award, which recognizes younger lawyers who have displayed outstanding legal ability, integrity and judgment and he served as assistant director of the SEC's Division of Investment Management.

Cliff is a frequent speaker at industry conferences, and is the author and editor of two of the leading treatises in the broker-dealer and adviser arena: Broker-Dealer Regulation and Investment Adviser Regulation (published by the Practising Law Institute).

Cliff is also co-founder of the Julia Anne Kirsch Foundation, which seeks to serve the needs of disabled individuals and their families.

Experience

Eversheds Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.

Eversheds Sutherland represents a coalition of major life insurance companies, which collectively account for more than 80% of the annuity business in the United States, in their efforts to affect the direction and details of various SEC, FINRA, CFTC, NAIC and state rule proposals and initiatives.

Eversheds Sutherland serves as outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.  Eversheds Sutherland serves as regular primary outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.

Eversheds Sutherland represents coalition of collective trust fund sponsors, advisers and other service providers.

Eversheds Sutherland serves as counsel to the Coalition of Collective Trust Funds. Among other things, Sutherland monitors and reports on legal and regulatory matters affecting collective trust funds.

Professional Activities

Member, New York City Bar Association

Faculty, FINRA Compliance Institute at The Wharton School of the University of Pennsylvania

Former Chair, FINRA Variable Products Committee

Former Board Member, National Society of Compliance Professionals


Kathryn Reimann, Senior Managing Director and Service Area Executive with Treliant, has wide-ranging experience as Chief Compliance Officer and In-house Counsel at some of the world’s premier financial services companies—in retail and commercial banking, payments, investment banking, and securities trading.

At Treliant, Kathryn is the senior executive overseeing the Consumer Compliance service areas. She is responsible for the service area strategies, including their expansion and client services.

Prior to joining Treliant, Kathryn was Chief Compliance Officer and Managing Director at Citibank, N.A., and Citi’s Global Consumer Bank. She led the compliance functions of both entities, including retail and commercial banking, credit card, secured and unsecured lending, and other consumer finance and investment businesses.

She also served as Senior Vice President and Chief Compliance & Ethics Officer at American Express. Previously, she was Senior Vice President, Chief Compliance Officer, and Senior Counsel at the Lehman Brothers investment bank. She has also worked as an attorney in the General Counsel’s Office of the Dean Witter Reynolds securities brokerage and with the law firm of Curtis, Mallet-Prevost, Colt & Mosle.

Kathryn has a JD from New York University’s School of Law and a BA from Princeton University’s Woodrow Wilson School of Public and International Affairs.


Patricia M. Zweibel
Counsel, Skadden, Arps, Slate, Meagher & Flom LLP
Political Law

Patricia Zweibel advises clients on government affairs matters at the federal, state and local levels, including ethics, lobbying, pay-to-play, conflict-of-interest and campaign finance.

Ms. Zweibel is known for her experience with state and federal pay-to-play laws, particularly SEC pay-to-play Rule 206(4)-5, and she advises clients extensively on compliance policies, procedures and implementation. She conducts employee training sessions on pay-to-play compliance and works with clients on internal investigations and SEC audits. She also advises on the placement agent rules and policies of state and local public pension systems.

Ms. Zweibel represents clients before federal enforcement agencies such as the Office of Congressional Ethics and the Department of Justice, and before state enforcement agencies and ethics commissions. She regularly advises clients on federal and state lobby registration laws, in particular compliance with the Lobbying Disclosure Act and the Foreign Agents Registration Act. She also advises clients on municipal advisor issues under Dodd-Frank, and on compliance issues raised under the Stop Trading on Congressional Knowledge Act (the STOCK Act), which confirms that insider trading provisions in the ‘34 Act and Rule 10b-5 apply to Congress and other federal officials.

Ms. Zweibel also counsels clients on the tax law issues raised by government affairs activity, including issues of tax-exempt entities engaged in political affairs and lobbying, the tax treatment of lobbying expenses, and grassroots lobbying. In addition, she advises clients on tax matters of IRC Section 527 organizations (PACs).

Ms. Zweibel is a co-author of the Practising Law Institute’s “Corporate Political Activities Deskbook.”

Education

LL.M. in Taxation, Georgetown University Law Center, 2009 (with distinction; Dean’s List)
J.D., University of Maryland School of Law, 2000 (with honors)
B.M., Eastman School of Music, 1984

Bar Admissions

District of Columbia
Maryland

Authorships

Co-Author, “Corporate Political Activities Deskbook,” Practising Law Institute (2012)

Professional Experience

Senior Counsel (2006-2008) and Attorney-Adviser (2000-2006), Internal Revenue Service, Office of Associate Chief Counsel, Income Tax & Accounting


Widely considered one of the country’s top privacy and data security lawyers, Tanya Forsheit has advised on high-profile matters involving confidential data and other sensitive information for over 20 years. Ms. Forsheit is Chair of Frankfurt Kurnit Klein & Selz’s Privacy & Data Security Group and Supervising Partner of the Los Angeles Office. She advises on the protection, processing and monetization of data, including matters related to interest-based advertising, privacy policies, mobile apps, cloud computing, smart devices, and data analytics.

Ms. Forsheit has advised on hundreds of information technology deals and transactions on behalf of both service providers and enterprise purchasers, including multilayered AdTech and cloud computing agreements. She is routinely called upon to help clients respond to time-sensitive security events and has advised on hundreds of such incidents. She has worked with dozens of multinational clients on the compliance requirements of the EU General Data Protection Regulation, and is currently representing dozens more in preparing for, and addressing the policy implications of, the California Consumer Privacy Act, taking effect in January 2020. 

The Legal 500 praised her in the 2019 edition as “incredibly responsive” and “everything you could ask for in an outside counsel.” The Daily Journal named her as one of the top 20 Cyber attorneys in California in its inaugural 2018 list, and has twice included her in its list of "Top Women Lawyers." She was one of three finalists for the Los Angeles Business Journal’s Cybersecurity Lawyer of the Year recognition in 2017.

Ms. Forsheit lectures widely on technology law topics and has been quoted on privacy and data security in publications such as the Wall Street Journal, Los Angeles Times, Forbes, ComputerWorld, Venture Beat, and Law360. She is currently an Adjunct Professor at Loyola Law School.

The International Association of Privacy Professionals (IAPP) has certified Ms. Forsheit as both an Information Privacy Professional (CIPP/US) and Privacy Technologist (CIPT). She sits on the Advisory Council of the Center for Democracy & Technology (CDT). Ms. Forsheit is a past President of the Women Lawyers Association of Los Angeles.


Sharie Brown is a partner in the White Collar & Government Investigations Practice Group in the firm’s Washington, DC office. She is a recognized leader in ethics, compliance and internal investigations involving financial fraud and corruption for US and non-US companies. As a former federal prosecutor, a Mobil Oil compliance and ethics officer, and a leader of white collar and compliance practices at major law firms, Sharie is regarded as a trusted advisor, counselor and skilled investigator for board audit committees, corporate senior management and general counsels in several regions of the world. Her experience, leadership and frequent media contributions regarding corporate fraud and corruption make her an international thought leader in the field.

Sharie represents international corporations and conducts internal investigations, audits and transactional due diligence worldwide in the areas of the Foreign Corrupt Practices Act (FCPA), including the Dodd-Frank whistleblower program, the UK Bribery Act, OFAC sanctions compliance and international trade controls, corporate ethics and compliance, Section 301 tariffs and International Trade Commission proceedings,  and USA Patriot Act anti-money laundering. Sharie regularly represents US and non-US clients in complex matters involving the US Department of Justice, the US Department of Treasury, the US Securities and Exchange Commission, the US Department of Commerce, the US State Department, US Congressional Committees, and other local regulatory agencies.

Prior to joining Troutman Sanders, Sharie chaired the White Collar Defense & Corporate Compliance Practice Group and the Foreign Corrupt Practices Act (FCPA), Anti-Corruption and Corporate Compliance Practice Group at two leading law firms. Before joining these other law firms, Sharie worked at Mobil Oil Corporation’s Office of General Counsel, where she served as an ethics and compliance officer. In that capacity, she developed a worldwide ethics and compliance program, a code of conduct and employee training videos, as well as pamphlets on the FCPA, and Iran, Iraq, Cuba and Libya sanctions compliance. As Mobil's policy advisor in Corporate Planning and Economics, she handled trade, tax and sanctions policy issues. In addition, she directed Mobil's state government relations in key states prior to her Corporate Planning assignment.

Prior to Mobil, Sharie was an Assistant United States Attorney in the Eastern District of Pennsylvania, where she handled tax, bank fraud and securities fraud cases. She was commended by FBI Director William Sessions for her co-prosecution of a securities fraud RICO, among other enforcement agency commendations. Sharie also clerked for the Honorable Richard M. Bilby, United States District Court, District of Arizona.

Sharie has authored, contributed to or been the feature of numerous articles regarding her practice areas, in publications such as the Wall Street Journal, the National Law Journal, Law360.com, and many others. She has also presented or moderated numerous FCPA, anti-corruption, anti-money laundering, compliance, and OFAC sanctions panels all over the world, including the Middle East, Africa and Europe.  She serves as co- chair of the District of Columbia Bar Association’s International Law Community, and is an active member of the University of Pennsylvania Board of Overseers for the School of Arts and Sciences.


Andrew M. Calamari is the Director of the Commission’s New York Regional office.  He served as Associate Director and co-head of Enforcement in New York for eight years before assuming his present position.  Before coming to the Commission in 2000, Mr. Calamari was engaged in private law practice for nearly 15 years, including as a litigation partner at Donovan Leisure Newton & Irvine.  He has co-authored a treatise on Complex Litigation and is co-author of the securities litigation chapter in a Matthew Bender treatise on securities law.


Brian Loutrel is a Vice President at New York Life Insurance Company in charge of anti-money laundering compliance, privacy/information security compliance as well as business conduct/ethics compliance programs.  Brian is the Anti-Money Laundering Compliance Officer for New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLIFE Securities LLC.  In addition, Brian is New York Life’s Chief Privacy Officer and Chief Ethics Officer.

Brian joined New York Life in June 1982 after graduating from Barry University in Miami, Florida.  During his tenure with New York Life, Brian spent fifteen years with the Corporate Audit Department conducting operational and information systems audits and fraud investigations, and the last sixteen years with the Corporate Compliance Department, where he has managed several divisions, including branch office compliance examinations, agent licensing and FINRA registration, complaint handling, sales material review and the handling of regulatory inquiries and examinations.

Brian is New York Life’s representative on the Anti-Money Laundering Committee and the Insurer Corporate Confidentiality Task Force of the American Council of Life Insurers (ACLI).  He is a Certified Internal Auditor, a Certified Financial Services Auditor, and holds FINRA’s Series 7, 24 and 63 registrations.  Brian also is a member of LIMRA’s Regulatory Compliance Committee.  He also has memberships in the Association of Certified Anti-Money Laundering Specialists and the International Association of Privacy Professionals, and over the years has spoken at numerous seminars and conferences about the insurance industry’s AML/OFAC compliance efforts and privacy / information security issues.


Sung-Hee Suh is the Deputy Assistant Attorney General overseeing the Fraud, Appellate and Capital Case Sections in the Criminal Division of the U.S. Department of Justice.  Her responsibilities include supervising cases involving the Foreign Corrupt Practices Act (“FCPA”), securities and commodities fraud, health care fraud and government program fraud, as well as formulating federal enforcement policies on white-collar crime and coordinating interagency, multi-district and international law enforcement efforts.  Ms. Suh re-joined the Justice Department in September 2014 following 15 years at the New York law firm of Schulte Roth & Zabel LLP, where she was a partner in the Litigation Group and handled numerous securities and commodities fraud, FCPA, Bank Secrecy Act, anti-money laundering and economic sanctions matters.  She previously served as an Assistant U.S. Attorney in the Eastern District of New York, including as Deputy Chief of the Organized Crime and Racketeering Section.  She graduated from Harvard College, Harvard Graduate School of Arts and Sciences, and Harvard Law School.