Schedule, Wednesday, October 9, 2013:
7:30-8:30 am: Networking Breakfast and Check-In
8:30 am: Opening Keynote Speech by Troy A. Paredes, Commissioner at the U.S. Securities and Exchange Commission
9:00 am – 12:30 pm: Morning Panel Discussions
12:30 pm – 1:30 pm: Lunch (Lunch Keynote Speaker)
1:45 pm – 5:15 pm: Afternoon Panel Discussions
5:30 pm: Cocktail Party
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Securities Enforcement Forum 2013 will address the most pressing and important issues and trends in the world of civil and criminal securities enforcement. Drawing on the experience of our extraordinary faculty of former and current senior officials of the SEC and the DOJ, as well as many other preeminent attorneys practicing in this area, SEF 2013 will analyze issues including:
- FCPA and anti-corruption trends, developments and best practices worldwide
- The evolving definition of insider trading and compliance challenges for companies and investment firms
- Ethics issues in bringing and defending SEC investigations
- Impact of the “Changing of the Guard” at the SEC and DOJ
- Trends in the criminalization of securities law
- International enforcement of securities laws, and cooperation with the U.S.
- The SEC’s enforcement response to the financial crisis
- Trends and key issues in financial fraud and accounting investigations
- Enforcement developments in SEC, FINRA, and other investigations regarding hedge funds, asset managers, broker-dealers and other investment entities
- The future of the SEC settlement process following SEC v. Citigroup
- Cooperation agreements, non-prosecution agreements and deferred prosecutions agreements
- The increased use of aggressive prosecutorial tactics and forensic analysis in securities enforcement matters
- Whistleblower developments and the role of the SEC under Dodd-Frank
