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The New Regulation S-AM: Limitations on Affiliate Marketing For Securities and Financial Services Firms
LIVE webcast
Brice Prince
Special Counsel, Division of Trading and Markets
U.S. Securities and Exchange Commission
Brice Prince is a Special Counsel in the Office of Chief Counsel in the Division of Trading and Markets at the U.S. Securities and Exchange Commission (SEC). He joined the SEC in 2001 after private practice in the District of Columbia and, earlier, Boston. Mr. Prince has worked on a variety of matters at the SEC, including rulemaking to implement the affiliate marketing provisions of the FACT Act. He is a graduate of Syracuse University and the Northwestern University School of Law, and is a member of the Massachusetts and District of Columbia bars.
Maureen A. Young, Esq.
Partner, Financial Institutions Corporate and Regulatory Group
Co-Chair, Privacy and Security Group
Bingham McCutchen LLP
Maureen regularly advises on compliance with the USA PATRIOT Act, Bank Secrecy Act and Office
of Foreign Assets Control requirements; federal/state law preemption issues; privacy, data
protection and security matters; Fair Credit Reporting Act compliance; Foreign Corrupt Practices
Act matters; Right to Financial Privacy and Freedom of Information Act requests; Regulation E,
payment card and stored value card issues; e-commerce and E-Sign compliance; a wide variety
of cyberlaw issues such as information security breach, anti-spam compliance and identity theft
matters; and protection of critical infrastructure information and other Homeland Security Issues.
She is also Bingham’s privacy administrator.
With respect to commercial technology matters, Maureen structures and negotiates a wide
variety of commercial technology agreements, including licensing and development agreements,
technology acquisitions, strategic alliances, and major outsourcing arrangements. She also
advises on both domestic and offshore outsourcing agreements and vendor management
issues, conducts Web site reviews, and advises on e-commerce matters.
Before joining Bingham in 2003, Maureen was assistant general counsel in Bank of America’s
Legal Department in the Regulatory and Corporate Services Group. During her 10-year tenure with
Bank of America, she worked on many of Bank of America’s major acquisitions, strategic
initiatives, regulatory matters and compliance initiatives, including community development
programs and internal investigations. She represented Bank of America in numerous major
technology transactions. She also served as Bank of America’s lead in-house counsel in its
acquisition of a private telecommunications network with multiple carriers for interstate and
intrastate services.
Clifford E. Kirsch
Partner
Sutherland Asbill & Brennan LLP
Cliff Kirsch, a member of Sutherland’s Financial Services Practice Group, conducts a comprehensive securities regulatory and compliance practice with a particular focus on broker-dealer and investment adviser matters. He regularly advises clients on issues raised in connection with the design and distribution of a broad range of investment products including wrap-fee programs and other advisory products, mutual funds and insurance products. In addition, Cliff focuses on issues related to the design and implementation of corporate compliance programs at financial services firms, advising on privacy and information security, anti-money laundering, assessment of compliance risks and related maters.
Before joining Sutherland, Cliff served more than 10 years as Chief Legal Officer for Prudential Financial’s Pruco Securities, a dually registered broker-dealer and investment adviser. In that capacity, he was responsible for advising on a wide range of broker-dealer and adviser matters.
Cliff began his legal career at the U.S. Securities and Exchange Commission (SEC), reaching the position of Assistant Director of the Division of Investment Management and Chief of the Office of Insurance Products. Cliff’s tenure at the SEC spanned nearly 10 years, during which time he received the Manuel F. Cohen Younger Lawyer Award.
Cliff is author and editor of two of the leading treatises in the broker-dealer and adviser arena: Broker-Dealer Regulation and Investment Adviser Regulation (both published by the Practising Law Institute). He appears regularly on industry and legal panels including serving as chair of ALI-ABA’s Investment Adviser Regulation and PLI’s course on broker-dealer regulation.
Sven C. Collins
Partner
Holme Roberts & Owen LLP
Sven Collins is a partner in Holme Roberts & Owen's Litigation and Trial Group and is based in the firm's Denver office. His practice emphasizes litigation and risk
management guidance in areas of employment and labor, health care litigation, trade secrets, and
unfair competition, real property tax challenges, securities litigation, and other commercial litigation.
Mr. Collins represents broker-dealers, other firms, and individuals in FINRA arbitrations arising out of
disputes with customers, registered representatives, and other firms, as well as in SEC investigations
and civil prosecution actions.
His employment practice involves representing companies in court and before government agencies
(e.g., EEOC, DOL, NLRB, and state agencies) in a variety of employment- and labor-related matters,
including employment discrimination, restrictive covenants, unfair competition, trade secrets, unfair
labor practices, employee benefits, employment contracts, and public accommodations
discrimination. He has counseled employers in connection with hiring, discipline and discharge;
reductions-in-force and reorganizations; plant closings and mass layoffs; employee benefits; and
development of employment policies. Mr. Collins has also participated in union avoidance campaigns
and collective bargaining negotiations.
Mr. Collins has experience representing health care providers in various litigation matters, including
reimbursement appeals and taxation classification matters. Additionally, Mr. Collins represents
landowners in property tax challenge matters as well as local and national companies in real estate,
construction, breach of contract, and other commercial disputes.
Education
J.D., University of Colorado School of Law, 1996, Order of the Coif
B.A., Trinity University, 1990
Accomplishments/Affiliations
Law Clerk, U.S. District Court of the District of Colorado, 1996-1997
University of Colorado Law Review, Associate Editor
Colorado Lawyers for the Arts, Board Member
Licensed
Colorado
Washington
Bar Associations
Colorado
Washington State
The New Regulation S-AM: Limitations on Affiliate Marketing For Securities and Financial Services Firms
Speaker Firms and Agency:
U.S. Securities and Exchange Commission (SEC)
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