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The New Financial Industry Reform Legislation: The Benefits and the Costs
LIVE webcast
Raymond Natter
Partner
Barnett Sivon & Natter
Raymond Natter is a partner in the Washington, D.C. law firm of Barnett Sivon & Natter, P.C. He specializes in representing financial institutions before the U.S. Congress and federal regulatory agencies.
Mr. Natter served as deputy chief counsel of the Office of the Comptroller of the Currency, where his responsibilities included the development and review of all of that agency’s regulatory undertakings from 1995 through 2004. At the OCC, Mr. Natter also was responsible for the legal department’s securities and corporate practices division, bank structure division and legislative affairs office. The legal department of the OCC’s New York and Chicago offices reported directly to Mr. Natter. Prior to the OCC, Mr. Natter served as a senior staffer for eight years on the U.S. Senate Committee on Banking, Housing and Urban Affairs, and was the Committee’s Republican chief counsel from 1989 through 1995. Prior to the Senate, Mr. Natter was a senior counsel at the legal department of the Federal Reserve Board in Washington, D.C.
Mr. Natter has written extensively on financial services legal and policy issues, and is often asked to speak at financial institution conferences and seminars and cited in the industry’s leading publications for his expertise in the financial services field.
Mr. Natter received his undergraduate degree from Rensselear Polytechnic Institute and his law degree from Georgetown University Law Center. In 1979, he was awarded an LL. M. degree with highest honors from the George Washington University National Law Center. He is admitted to practice in the District of Columbia.
Robert C. Pozen
Chairman
MFS Investment Management
Robert C. Pozen is Chairman of MFS Investment Management®, which manages over $190 billion in assets. He is also a Senior Lecturer at Harvard Business School, and an outside director of Medtronic, Inc.
In 2001, Bob was a member of the President’s Commission to Strengthen Social Security. In 2002, he was the John Olin Visiting Professor at Harvard Law School. In 2003, he served as Secretary of Economic Affairs for Massachusetts Governor Mitt Romney. In 2008, he was Chairman of the SEC's Advisory Committee to Improve Financial Reporting.
From 1987 to 2001, Bob worked at Fidelity Investments, where he was President and Vice Chairman. Before joining Fidelity, Bob was Associate General Counsel for the SEC, and was Associate Professor at NYU Law School.
Bob graduated summa cum laude from Harvard College, and was an editor of the Yale Law Journal. He lives in Boston with his wife, a psychotherapist and figurative artist.
Bob has published many opinion pieces in the Financial Times, the New York Times, the Wall Street Journal and the Harvard Business Review. In late 2009, John Wiley published his book, Too Big To Save? How to Fix the US Financial System.
Charles M. Horn
Partner
Mayer Brown LLP
Charles Horn is a regulatory and transactional attorney whose practice focuses primarily on banking and financial services matters. Charles represents domestic and global financial services firms of all sizes on regulatory and transactional issues affecting their organization, structure, governance, management and operations. In addition, he provides sophisticated regulatory counseling to banks and other financial services firms relative to federal and state financial regulation, supervision, and compliance matters affecting their corporate, institutional, and retail business activities.
Charles has extensive experience in the development of new capital markets and other financial products and services. He also supplies comprehensive counseling across a wide range of transactions and activities involving the convergence of financial services sectors (banking, securities, and insurance), including merger and acquisition transactions, strategic alliances, and business integrations. In 2007, Chambers USA noted that “clients report that they ‘rely heavily on Charles Horn’s wisdom, judgment and experience.’”
Prior to joining Mayer Brown in 1992, Charles worked with another major law firm. Previously, he served first as Senior Attorney (1983), then as Assistant Director (1983–1986), and finally as Director (1986–1989) of the Securities & Corporate Practices Division of the US Department of Treasury’s Office of the Comptroller of the Currency. Earlier, Charles held positions of progressively greater responsibility with the US Securities and Exchange Commission, Washington, DC, including Branch Chief (1982–1983); Senior Counsel (1980–1982); Attorney, Division of Enforcement (1978–1982); and Attorney, Division of Market Regulation (1976–1978).
Education
Cornell University Law School, JD, 1976 • Harvard College, AB, magna cum laude, 1973
Admitted
- US Supreme Court, 1980
- US Court of Appeals for the District of Columbia Circuit, 1977
- District of Columbia, 1976
Richard D. Marshall
Partner
Ropes & Gray
Richard Marshall is a partner in the Investment Management and Securities Litigation groups of Ropes & Gray. Since entering private practice, Rick has conducted compliance reviews and provided compliance counseling for investment companies, investment advisers, hedge funds, and broker-dealers; represented individuals and regulated entities in inspections, investigations, and litigation against the Securities and Exchange Commission, self-regulatory organizations, state securities regulators, and U.S. Attorney's offices; created hedge funds; provided advice on the creation of new products for investment companies, investment advisers, hedge funds, and broker-dealers; and counseled investment companies, investment advisers, hedge funds, and broker-dealers on regulatory matters.
Before joining Ropes & Gray, Rick had been Senior Associate Regional Administrator in the New York office of the Securities and Exchange Commission. In that position, he supervised a staff of seventy that conducted inspections of investment companies and advisers in the New York region and oversaw enforcement matters related to those entities. Rick has also been a branch chief in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C.
The New Financial Industry Reform Legislation: The Benefits and the Costs
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