Fundamentals of Banking Law & FinTech 2017


October 10 – 12, 2017 | Charles Schwab | 211 Main Street | San Francisco, CA 91405

See here for photos from the event.

NEW FOR 2017 – Half-Day Option (October 12, 2017) on FinTech Legal | Fundamentals for Entrepreneurs, Executives, and Investors [Click here for more details]

The Berkeley Center for Law and Business is pleased to continue its sponsorship of Fundamentals of Banking Law and FinTech, an intensive three-day executive education program designed to familiarize participants with the basics of banking law, including the key policies, concepts and regulations surrounding the financial markets, Dodd-Frank, and the rise of FinTech. Designed as a law course rather than a seminar or conference, the program will be taught by experienced practitioners, from leading institutions including Berkeley Law, Boston University, Charles Schwab, the Clearing House, Cleary Gottlieb, and NYU.


Who Should Register

  • Lawyers at all levels of experience, from entry-level associates to seasoned practitioners who are newly involved or expect to become involved in banking law or representing regulated financial institutions;
  • Banking law specialists seeking to expand their knowledge and practices into other growing areas of concentration;
  • All private practitioners who advise their corporate clients on banking law matters;
  • Consultants, accountants, and bank executives seeking a more comprehensive understanding of banking regulations and regulatory policies;
  • Compliance officers, internal auditors, risk managers and other in-house personnel responsible for applying banking regulations and managing risks;
  • Supervisory personnel and examiners from financial regulatory agencies; and,
  • Officers and employees of financial trade associations, self-regulatory entities, clearing houses and exchanges.

Other Program Topics Include: 

  • The structure and purpose of bank regulation;
  • Understanding banks as chartered entities, and entities chartered by the federal government;
  • Prudential limitations, including affiliate rules, loans to one-borrower and loans to insiders;
  • Permitted investments and activities of banks, bank holding companies and financial holding companies;
  • Insurance, securities and capital market activities, including derivative and swap activities, of banks and bank affiliates;
  • FDIC deposit insurance and bank failures;
  • Supervision, examination and enforcement by banking regulators and the expansion of government agencies addressing the practices of banking organizations; and
  • Assessing the opportunities and risks surrounding FinTech technologies and companies.

Course Instructors

The program is designed as a law school course rather than a seminar or conference. The Faculty consists of experienced practitioners who have also taught as adjuncts at major law schools.

John A. Buchman, Director, Legal Counsel, Charles Schwab, San Francisco; Lecturer in Law, George Washington University

Paul Clark, Partner, Seward & Kissel LLP, Washington DC; member, Executive Advisory Board for Berkeley Center for Law and Business

Hugh Conroy, Counsel, Cleary Gottlieb Steen and Hamilton LLP, New York and current Vice Chair of the Banking Law Committee of the American Bar Association

Sara A. Kelsey, Adjunct Professor, New York University Law School and New York Law School, former General Counsel of the FDIC, Sole Practitioner

Prasad Krishnamurthy, Professor of Law, University of California Berkeley School of Law

Edward J. McAniff, Counsel, O’Melveny & Myers LLP, Los Angeles; Adjunct Professor, University of Oregon School of Law

Jeremy R. Newell, Managing Director and General Counsel, The Clearing House; formerly Lecturer in Law, Boston University School of Law 

Camille Orme, Partner, Sullivan & Cromwell LLP, New York

Karol K. Sparks, Partner, Barack Ferrazzano Kirschbaum & Nagelberg LLP, Chicago; Lecturer in Law, Boston University School of Law; former Chair of the Banking Law Committee of the American Bar Association

MCLE Information

Up to 24 hours of MCLE credit is being offered, including at least one hour of ethics. The grant of MCLE credit is within the purview of the states, and we will provide a certificate of attendance and other materials to use in seeking continuing education credits. Berkeley Law certifies that this activity has been approved for 24 hours MCLE credit by the State Bar of California.

MCLE Materials


Registration for Three-Day Program (includes Half-Day FinTech Legal):
Government and Public Interest Employees, UC Berkeley Alumni – $1,700
General Public – $1,900

Half-Day FinTech Legal | Fundamentals for Entrepreneurs, Executives and Investors (click here for additional program details):
Government and Public Interest Employees, UC Berkeley Alumni – $450
General Public – $550
(Attorneys interested in only the Half-Day course, must contact for approval)


Refunds, minus $25 to cover administrative costs, are possible by September 1. No refunds will be given after this date.

Registration Information

For information on the Berkeley session, please contact the Berkeley Center for Law and Business at or by calling 510-642-0532.

Hotel Information

For your convenience, here are two hotels located near the Charles Schwab office; unfortunately, no special rate can be offered for your stay regardless of the hotel. 

Hotel Griffon
4 min away

Hyatt Regency San Francisco
9 min away

If you need suggestions for other hotels, feel free to contact us at


Tuesday, October 10 – Thursday, October 12, 2017
Charles Schwab 
211 Main Street 
San Francisco, CA 94105