Faculty: Daniel M. Hawke

Dan HawkeDaniel M. Hawke focuses his practice on broad-based federal securities law enforcement, examination and regulatory policy issues, with an emphasis on market structure, high-frequency trading, trading abuse and complex insider trading issues. He works closely with financial institutions including national securities exchanges, alternative trading systems, investment banks, broker-dealers, investment advisers and hedge funds on counseling matters, internal reviews and compliance questions.

Prior to joining Arnold & Porter, Mr. Hawke held several senior positions in the US Securities and Exchange Commission’s Division of Enforcement during his 16-year tenure at the agency. Most recently he established and led the Division’s Market Abuse Unit and managed more than 60 attorneys and industry specialists in eight SEC offices nationwide. With responsibility for investigations throughout the United States, he oversaw hundreds of investigations of market structure violations, complex insider trading rings, broker-dealer conduct and compliance violations, high-frequency and algorithmic trading issues, alternative trading systems (dark pools) misconduct, hacking and cyber security schemes and large cap market manipulations. Under Mr. Hawke’s leadership, the Market Abuse Unit used technology and quantitative analysis to detect abusive trading schemes and conduct groundbreaking “trader-based” investigations. He also led the establishment of the unit’s Analysis and Detection Center to identify and evaluate potential violations of the federal securities laws. He has served as an adviser to the SEC chair, commissioners, and division directors regarding national enforcement program priorities and policy issues, legislative and investigative inquiries, Congressional testimony, and legal and jurisdictional issues. Mr. Hawke has extensive experience coordinating SEC enforcement activities with federal criminal authorities, the US Commodity Futures Trading Commission, federal financial services, state securities and foreign regulators.

Mr. Hawke also served as Director of the SEC’s Philadelphia office and oversaw the Commission’s examination and enforcement programs in Pennsylvania, Delaware, Maryland, Virginia, West Virginia and Washington, DC.

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CLE Info and Forms

SEF2014 CLE -sm6.5 hrs CLE credit approved in PA and VA. Forms available here.

Materials

Links to materials available here.

Details

When: Thursday, October 13, 2016
7:00 am - 8:00 am (breakfast & registration)
8:00 am - 5:00 pm (followed by cocktail party)
Where: Mayflower Hotel
1127 Connecticut Avenue NW
Washington, D.C. 20036
CLE Credit: 6.0 hours (pending approval in VA and PA)

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