Morgan Lewis

Employment Law in the Securities Industry: A Forum on Recent Developments, New York

Securities Industry Association (SIA) and the Morgan Lewis Labor and Employment Practice are partnering on this intensive half-day seminar for SIA member firms, which will focus on current developments in cutting edge employment law issues that directly impact the securities industry. 

Topics will include:

  • Pay-and-promotion discrimination class actions
    • Account allocation issues
    • Discretionary bonus programs
    • Advancement policies/process
  • Legal concerns over diversity and employee network initiatives and activities
    • How to structure
    • How to measure progress
    • Evidentiary concerns over self-critical analysis, internal reports
    • Other possible topics might include survey participation, media communications, and third-party disclosures;  reverse discrimination issues; religious activities (networking attempts; prayer/contemplation rooms)
  • Wage and hour issues
    • State and federal overtime class actions (sales assistants, operations employees, brokers, loan underwriters,  sales positions)
    • Unlawful deduction claims (relating to equity award participation; commission adjustments for errors, broken trades, etc.; contributions to compensation for sales assistants; etc.)
  • Equity award programs
    • Litigation around forfeiture provisions
  • Benchmarking on garden leave and other notice policies/practices
  • Compliance with U.S. Department of Labor's new LM-10 reporting requirement (disclosing payments to labor organizations or officials)
  • Exposure to securities fraud or SOX whistleblower complaints arising out of discrimination complaints
  • Forum-shopping issues relating to SOX whistleblower complaints

Location:
Morgan Lewis & Bockius LLP
39th Floor, 101 Park Avenue (Between 40th & 41st)
New York, NY

To register:
Register by April 28 with SIA.
Please click on this link for event and registration or go to the SIA website at www.sia.com.