Anne C. Flannery
Email: aflannery@morganlewis.com
- New York
-
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6370
Fax: 212.309.6001
Publications
| Date | Type | Title |
| 02/01/2012 | LawFlash/Client Alert | Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review |
| 01/31/2012 | Presentation | 2011 Year in Review: Asset Management Roundtable |
| January 2012 | Morgan Lewis Title | 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 01/18/2012 | Presentation | Compliance Officer Liability, presented to the SRO Subcommittee of the ABA Securities Litigation Committee |
| 09/27/2011 | Presentation | Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II |
| 05/05/2011 | Presentation | 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. |
| March 2011 | Morgan Lewis Title | Morgan Lewis 2010 Hedge Fund Enforcement Year in Review |
| 02/17/2011 | Presentation | SEC and FINRA 2010 Year in Review |
| January 2011 | Morgan Lewis Title | 2010 Year in Review: SEC and SRO
Selected Enforcement Cases and
Developments Regarding Broker-Dealers |
| 09/29/2010 | Presentation | Compliance Roundtable Seminar |
| August 2010 | Morgan Lewis Title | 2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 05/06/2010 | Presentation | Understanding Control Risks, presented at the SIFMA Compliance & Legal Society 2010 Annual Seminar, Washington, D.C. |
| January 2010 | Morgan Lewis Title | 2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 10/19/2009 | Presentation | Looking Forward to 2010: Hot SEC Topics for Advisers, presented at the TD Ameritrade Institutional 2009 Fall Regional Conference, New York |
| 10/07/2009 | Presentation | The Compliance Officer Self-Protection Plan, presented at the NSCP National Membership Meeting, Philadelphia |
| July 2009 | Morgan Lewis Title | 2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 06/19/2009 | Presentation | 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 |
| 06/12/2009 | Presentation | Conducting Internal Investigations, presented for the FINRA Institute at Wharton Business School, Philadelphia |
| 02/05/2009 | Outside Publication | 2008 SEC and SRO Enforcement Year in Review, Complinet |
| January 2009 | Morgan Lewis Title | 2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| August 2008 | Morgan Lewis Title | U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments |
| 07/17/2008 | LawFlash/Client Alert | SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions |
| 06/18/2008 | Presentation | The New Examination Process: How to Be Prepared, presented at the BISA Conference, Washington, D.C. |
| January/February 2008 | Outside Publication | 2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents |
| January 2008 | Morgan Lewis Title | 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 10/17/2007 | Presentation | Protecting the Chief Compliance Officer From Regulatory and Civil Liability, presented at the 2007 NSCP National Membership Meeting, Washington, D.C. |
| February 2007 | Morgan Lewis Title | The Regulatory Examination Process |
| August 2006 | Outside Publication | Anti-Money Laundering Compliance Programs: Time to Reevaluate Risks, The Investment Lawyer, Vol. 13, No. 8 |
| 06/20/2006 | Presentation | Managing Conflicts Within Financial Institutions, presented at the NYSE Regulation Second Annual Securities Conference, New York |
| 06/01/2006 | Presentation | Securities Arbitration & Mediation, presented at the City Bar Association Seminar, New York |
| 05/19/2006 | Presentation | Research Analyst Issues, presented at the NASD Spring Conference, Hollywood, FL |
| 05/11/2006 | Presentation | Managing Antitrust Matters in the Modern Corporate Governance Era, presented at the ABA Antitrust Section & City Bar Seminar, New York |
| 04/05/2006 | Presentation | Recent Developments in Securities Enforcement, presented at the New York County Lawyers Association Seminar, New York |
| 03/18/2006 | Presentation | Litigating with SROs, presented at the SIA Annual Compliance and Legal Division Conference, Hollywood, FL |
| 06/01/1999 | Presentation | Damage Control: Managing the Inevitable Corporate Crisis, presented at the Practising Law Institute Corporate Compliance 1999 Meeting, New York |
| 12/08/1998 | Presentation | Due Process: The SEC Confronts Regulation of a Global Financial Services Industry, presented a the IBC UK Conferences Limited, London |
| December 1998 | Outside Publication | Supervision of Remote Representatives, NSCP Currents |
| 10/29/1998 | Presentation | Broker-Dealer Supervision of Remote Representatives, presented at the 1998 National NSCP Membership Meeting, Washington, D.C. |
| 06/01/1998 | Presentation | 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 |
| December 1997 | Outside Publication | Protection of Internal Corporate Investigation Materials Under the Attorney-Client Privilege and Work Product Doctrine, The Metropolitan Corporate Counsel |
| 11/08/1997 | Presentation | 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 |
| 11/02/1996 | Presentation | 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 |
| November 1996 | Outside Publication | Recent Decisions on the Attorney-Client Privilege and Their Impact on Internal Corporate Investigations, The Metropolitan Corporate Counsel |
| 06/04/1996 | Presentation | 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 |
| 01/13/1996 | Presentation | 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 |
| December 1995 | Outside Publication | Lawyers Beware: The SEC is Back and Looking for You, Metropolitan Corporate Counsel |
| 05/19/1995 | Presentation | 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 |
| 11/04/1994 | Presentation | 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 |
| 10/01/1994 | Presentation | 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 |
| 06/03/1994 | Presentation | 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. |
| June 1994 | Outside Publication | 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 |
| July 1992 | Outside Publication | Update: Compliance Officers' Supervisory Responsibilities, Insights, Vol. 6, No. 7 |
| 12/05/1990 | Presentation | The Necessity for Greater Due Process in Investigations and Disciplinary Actions by Self-Regulatory Organizations, presented at Georgetown University, Washington, D.C. |
| 02/20/1990 | Outside Publication | Recent Developments in SEC Supervision Cases, C&L News & Notes, Compliance and Legal Division (Securities Industry Association Publication) |