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    Financial Services Regulation

    January 11, 2012
    12:00 PM - 2:00 PM
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    The Buckhead Club 3344 Peachtree Rd. NE - 26th Floor
    Atlanta, GA 30326  Directions

    Tickets

    $35.00 Guest Fee

    $10.00 Member Fee

    The presentation will be on the Dodd–Frank Wall Street Reform and Consumer Protection Act. 

    The Dodd–Frank Wall Street Reform and Consumer Protection Act implements financial regulatory reform. Passed as a response to the late-2000s recession, the Act was touted as the most sweeping change to financial regulation in the United States since the Great Depression, purportedly representing a significant change in the American financial regulatory environment affecting all Federal financial regulatory agencies and almost every aspect of the nation's financial services industry. However, many legal and financial scholars have been critical, arguing that the reforms were insufficient to prevent another financial crisis or additional "bail outs" of financial institutions. 

    In addition to the headline regulatory changes covering capital investment by banks and insurance companies, the Act introduces new regulation of hedge funds, alters the definition of accredited investors, requires reporting by all public companies on CEO to median employee pay ratios and other compensation data, enforces equitable access to credit for consumers, and provides incentives to promote banking among low- and medium-income residents. 

    Ray Fortin is SunTrust’s General Counsel. In this role, he is responsible for the company’s legal affairs. He has administrative responsibility for the Internal Audit department and serves as Chair of Disclosure Committee as well as Corporate Secretary.

    Mr. Fortin, who has 32 years of legal experience, joined SunTrust in 1989. Prior to joining SunTrust, he served for eight years as staff counsel at the Citizens and Southern Georgia Corporation concentrating on securities, corporate finance, and banking and corporate law, and was an associate at an Atlanta law firm.

    Mr. Fortin earned a bachelor’s degree in political science from the University of Florida and a JD from the University of Florida School of Law. He was the managing editor of the Florida Law Review. Mr. Fortin serves as chair of the Georgia Business Court Feasibility Study, and is past president of the Corporate Counsel Section of the State Bar of Georgia.

    David Bloom is a Senior Managing Attorney.  In this role, he is responsible for providing legal support for SunTrust’s capital markets, broker-dealer and investment advisory businesses, as well as bank regulatory matters and SunTrust mergers & acquisition and capital raising transactions.  He also serves as the Corporate Secretary of SunTrust Robinson Humphrey, Inc., an SEC registered broker-dealer.

    Mr. Bloom joined SunTrust in 2008.  Prior to joining SunTrust, he was head of Legal for HSBC’s Corporate, Investment Banking and Markets Division in London and New York.  Prior to that, he served as Global Treasury counsel with American Express Bank Ltd. in New York and as Corporate and Finance Associate with the law firm Kaye, Scholer, Fierman, Hays & Handler, LLP in New York. 

    Mr. Bloom earned a bachelor’s degree in International Affairs from the University of Colorado, master’s degree in International Finance and Banking from Columbia University, and a JD from American University’s Washington College of Law where he was a member of the Law Review.

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