Anne C. Flannery
Email: aflannery@morganlewis.com
education
Brooklyn Law School, 1976, J.D., Cum Laude
Marymount Manhattan College, 1973, B.A., Cum Laude
Publications
| Date | Title | Publication |
| 02/01/1202/01/12 |
Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review |
Securities LawFlash |
| 01/31/1201/31/12 |
2011 Year in Review: Asset Management Roundtable |
Speech |
| 01/31/12January 2012 |
2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers |
White Paper |
| 01/18/1201/18/12 |
Compliance Officer Liability, presented to the SRO Subcommittee of the ABA Securities Litigation Committee |
Speech |
| 09/27/1109/27/11 |
Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II |
Speech |
| 05/05/1105/05/11 |
Mutual Fund Crisis Preparation and Response: Some Practical Insights into Preparing for and Responding to a Crisis Affecting Your Organization, presented at the ICI 2011 General Membership Meeting, Washington, D.C. |
Speech |
| 03/18/11March 2011 |
Morgan Lewis 2010 Hedge Fund Enforcement Year in Review |
White Paper |
| 02/17/1102/17/11 |
SEC and FINRA 2010 Year in Review |
Webinar |
| 01/26/11January 2011 |
2010 Year in Review: SEC and SRO
Selected Enforcement Cases and
Developments Regarding Broker-Dealers |
White Paper |
| 09/29/1009/29/10 |
Compliance Roundtable Seminar |
Speech |
| 08/06/10August 2010 |
2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
White Paper |
| 05/06/1005/06/10 |
Understanding Control Risks, presented at the SIFMA Compliance & Legal Society 2010 Annual Seminar, Washington, D.C. |
Speech |
| 01/28/10January 2010 |
2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
White Paper |
| 10/19/0910/19/09 |
Looking Forward to 2010: Hot SEC Topics for Advisers, presented at the TD Ameritrade Institutional 2009 Fall Regional Conference, New York |
Speech |
| 10/07/0910/07/09 |
The Compliance Officer Self-Protection Plan, presented at the NSCP National Membership Meeting, Philadelphia |
Speech |
| 07/31/09July 2009 |
2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
White Paper |
| 06/19/0906/19/09 |
Ethical Responsibilities of Legal and Compliance Professionals: Recent SEC
and FINRA Cases Involving Lawyers and Compliance Professionals, presented at the 31st Annual ALI-ABA Broker-Dealer Regulation Conference, New York |
Speech |
| 06/12/0906/12/09 |
Conducting Internal Investigations, presented for the FINRA Institute at Wharton Business School, Philadelphia |
Speech |
| 02/05/0902/05/09 |
2008 SEC and SRO Enforcement Year in Review, Complinet |
Article |
| 01/21/09January 2009 |
2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
White Paper |
| 08/15/08August 2008 |
U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments |
White Paper |
| 07/17/0807/17/08 |
SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions |
Securities Industry FYI |
| 06/18/0806/18/08 |
The New Examination Process: How to Be Prepared, presented at the BISA Conference, Washington, D.C. |
Speech |
| 02/01/08January/February 2008 |
2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents |
Article |
| 01/18/08January 2008 |
2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
White Paper |
| 10/17/0710/17/07 |
Protecting the Chief Compliance Officer From Regulatory and Civil Liability, presented at the 2007 NSCP National Membership Meeting, Washington, D.C. |
Speech |
| 02/21/07February 2007 |
The Regulatory Examination Process |
White Paper |
| 08/01/06August 2006 |
Anti-Money Laundering Compliance Programs: Time to Reevaluate Risks, The Investment Lawyer, Vol. 13, No. 8 |
Article |
| 06/20/0606/20/06 |
Managing Conflicts Within Financial Institutions, presented at the NYSE Regulation Second Annual Securities Conference, New York |
Speech |
| 06/01/0606/01/06 |
Securities Arbitration & Mediation, presented at the City Bar Association Seminar, New York |
Speech |
| 05/19/0605/19/06 |
Research Analyst Issues, presented at the NASD Spring Conference, Hollywood, FL |
Speech |
| 05/11/0605/11/06 |
Managing Antitrust Matters in the Modern Corporate Governance Era, presented at the ABA Antitrust Section & City Bar Seminar, New York |
Speech |
| 04/05/0604/05/06 |
Recent Developments in Securities Enforcement, presented at the New York County Lawyers Association Seminar, New York |
Speech |
| 03/18/0603/18/06 |
Litigating with SROs, presented at the SIA Annual Compliance and Legal Division Conference, Hollywood, FL |
Speech |
| 06/01/9906/01/99 |
Damage Control: Managing the Inevitable Corporate Crisis, presented at the Practising Law Institute Corporate Compliance 1999 Meeting, New York |
Speech |
| 12/08/9812/08/98 |
Due Process: The SEC Confronts Regulation of a Global Financial Services Industry, presented a the IBC UK Conferences Limited, London |
Speech |
| 12/01/98December 1998 |
Supervision of Remote Representatives, NSCP Currents |
Article |
| 10/29/9810/29/98 |
Broker-Dealer Supervision of Remote Representatives, presented at the 1998 National NSCP Membership Meeting, Washington, D.C. |
Speech |
| 06/01/9806/01/98 |
Selected Decisions Relating to Contested SEC and SRO Cases and Criminal Securities Prosecutions in 1997 and 1998, presented before the ABA-CLE 1st Annual National Institute on Securities Litigation and Arbitration, New York |
Speech |
| 12/01/97December 1997 |
Protection of Internal Corporate Investigation Materials Under the Attorney-Client Privilege and Work Product Doctrine, The Metropolitan Corporate Counsel |
Article |
| 11/08/9711/08/97 |
The Confusion Continues: Protection of Internal Corporate Investigation Materials Under the Attorney-Client Privilege and Work Product Doctrine, Revisited, presented at The 29th Annual Institute on Securities Regulation, Practising Law Institute, New York |
Speech |
| 11/02/9611/02/96 |
Between a Rock and a Hard Place: Internal Corporate Investigations and the Attorney-Client Privilege, presented at the Practising Law Institute's 28th Annual Institute on Securities Regulation, New York |
Speech |
| 11/01/96November 1996 |
Recent Decisions on the Attorney-Client Privilege and Their Impact on Internal Corporate Investigations, The Metropolitan Corporate Counsel |
Article |
| 06/04/9606/04/96 |
Deciding Whether to Settle or Litigate With the Commission: A Survey of SEC Civil Enforcement Cases, presented at the American Conference Institute Fourth Annual Securities Litigation and Enforcement Conference, Miami |
Speech |
| 01/13/9601/13/96 |
Arbitrations -- Has the Favored Child Become Spoiled? A Look at How Arbitration Has Fared In Resolving Securities and Employment Disputes, Attorney Interviews with Branch Office Manager and Account Executive: Assessing the Case and Development of a Strategic Plan for Defense, presented at the American Bar Association, Section of Litigation Annual Meeting, Miami |
Speech |
| 12/01/95December 1995 |
Lawyers Beware: The SEC is Back and Looking for You, Metropolitan Corporate Counsel |
Article |
| 05/19/9505/19/95 |
Recent Enforcement Developments: A Survey of the SEC's Application of Its Authority Under the 1990 Remedies Act, Parallel Proceedings and SEC Initiatives Against Investment Advisers, presented at the American Conference Institute, Securities Litigation & Enforcement, New York |
Speech |
| 11/04/9411/04/94 |
Survey of Recent Enforcement Developments - Maximizing the Penalties for Violative Conduct, presented at the 26th Annual Institute on Securities Regulation, Practising Law Institute, New York |
Speech |
| 10/01/9410/01/94 |
Parallel Proceedings: Responding Concurrently to the SEC, the SROs, the State and the Justice Department, presented at the Twenty-Second Annual Securities Regulation Institute, New York |
Speech |
| 06/03/9406/03/94 |
Survey of Recent SRO Disciplinary Activity and Summary of the Forthcoming ABA Task Force Report on the SRO Disciplinary Process, presented at a Securities and Exchange Commission sponsored conference, Washington, D.C. |
Speech |
| 06/01/94June 1994 |
Time For A Change: A Re-Examination of the Settlement Policies of the Securities and Exchange Commission, Washington and Lee Law Review, Vol. 51, No. 3 |
Article |
| 07/01/92July 1992 |
Update: Compliance Officers' Supervisory Responsibilities, Insights, Vol. 6, No. 7 |
Article |
| 12/05/9012/05/90 |
The Necessity for Greater Due Process in Investigations and Disciplinary Actions by Self-Regulatory Organizations, presented at Georgetown University, Washington, D.C. |
Speech |
| 02/20/9002/20/90 |
Recent Developments in SEC Supervision Cases, C&L News & Notes, Compliance and Legal Division (Securities Industry Association Publication) |
Article |
News
| Date | Title | Description |
|---|---|---|
| Dec 05, 2005 |
Partner Anne C. Flannery Returns to Morgan Lewis |
Anne C. Flannery, most recently First Vice President and General Counsel for Global Regulatory Affairs with Merrill Lynch, has returned as a partner in the firm’s New York office. |