SEC Faculty: Charles E. Cain

Cain 150

Charles Cain is the Chief of the Foreign Corrupt Practices Act Unit within the Securities and Exchange Commission’s Division of Enforcement.  He has been in the SEC’s FCPA Unit since its formation and with the Division of Enforcement for seventeen years.

As Chief, Mr. Cain’s roles include oversight of the National FPCA program, coordination with the DOJ and FBI, and supervision of individual investigations. During his tenure with the SEC, he has been responsible for numerous significant FCPA matters, as well as cases across a broad range of other areas including financial fraud, insider trading, offering fraud, market manipulation, disclosure fraud, and broker dealer practices.

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Details

When: Thursday, November 1, 2018
7:00 am - 8:20 am (breakfast & registration)
8:20 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel
2800 Pennsylvania Avenue, NW
Washington, D.C. 20007
CLE Credit: 6.5 hours (approved in PA)

CLE Information and Forms

SEF2014 CLE -sm6.5 hours CLE credit approved in PA. Forms available here.

Materials

Links to materials available here.

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