Securities Enforcement Forum 2016 Materials

Materials by Panel

Panel 1: Insider Trading Trends and Developments

  1. 2015 Insider Trading & Disclosure Update
  2. Supreme Court Will Decide Reach of Insider Trading Law
  3. SEC’s Trader-Based Approach To Insider Trading Enforcement
  4. U.S. Attorney’s Office and SEC Charge Portfolio Manager with Insider Trading; Stretch the Limits of Newman’s Personal Benefit Standard

Panel 1: Managing a True Corporate Crisis/Internal Investigation

  1. Effective Communications During a Crisis
  2. Corporate Secretary Guidelines: Taking Notes and Preparing Official Minutes
  3. When Should the General Counsel Recommend that the Board Conduct an Independent Investigation?
  4. Is the SEC Zeroing In On Directors?

Panel 3: The DOJ and Securities Fraud

  1. “Securities Fraud,” by Preet Bharara, U.S. Attorney for the Southern District of New York
  2. DOJ Hires Compliance Counsel to Assist in Charging Decisions
  3. Trends in Federal White Collar Prosecutions
  4. Second Circuit Limits Government Access to Certain Overseas Data
  5. DOJ Attempts to Encourage Corporate Self-Disclosures With the Announcement of a One-Year FCPA Pilot Program
  6. DOJ Launches New FCPA Self-Reporting Pilot Program

Panel 4: FCPA Trends and Developments

  1. 2016 Mid-Year FCPA Update
  2. Gleaning Best FCPA Practices for Directors from Recent Government Actions
  3. Top Ten International Anti-Corruption Developments for August 2016
  4. The First Ninety Days of the FCPA Unit’s Pilot Program
  5. DOJ Announces New FCPA Pilot Program to Encourage Self-Reporting

Panel 5: Financial and Accounting Fraud

  1. The SEC Enforcement Division’s Focus on Auditors and Auditing
  2. SEC Financial Reporting and Audit Task Force
  3. How to Navigate the SEC’s Proposed Mandate on Clawbacks
  4. SEC Complaint Serves as Reminder to Carefully Consider Disclosure Obligations Relating to Government Investigations
  5. Surviving a Restatement: Ten Pitfalls to Avoid

 Panel 6: Chairmen’s Panel

  1. 2016 Mid-Year Securities Enforcement Update
  2. A Guide To Hedge Fund Business & Operational Due Diligence
  3. Financial Services Regulatory Reform in the Face of An Economic Meltdown
  4. SEC Enforcement By The Numbers

Panel 7: Financial Firm Spotlight–Asset Management, Private Equity, Hedge Funds and More

  1. SEC’s Enforcement Actions Against Private Equity & Hedge Funds
  2. FINRA 2016 Regulatory and Examination Priorities Letter
  3. SEC Examination Priorities for 2016
  4. SEC Chair Mary Jo White Keynote Address at the SEC-Rock Center on Corporate Governance Silicon Valley Initiative
  5. SEC Scrutiny of Secondary Market Trading
  6. Post Chiasson/Newman – The Future of Insider Trading Laws, Regulations and Litigation
  7. New York DFS Proposes New Rules on Cybersecurity
  8. The Handbook of Mortgage-Backed Securities: New Regulations for Securitizations and Asset-Backed Securities
  9. Market Manipulation and Spoofing
  10. Developments in Bank Secrecy Act and Anti-Money Laundering Enforcement and Litigation
  11. 12 AML Obligations Every Broker/Dealer Needs to Know

Panel 8:  SEC Practice — Developments in Administrative Proceedings, Trials, Testimony, Wells Process, Settlements and More

  1. Preparing for the SEC’s Increased Pursuit of Compliance Officers 
  2. The SEC’s Curious View of the Constitution and Privacy Rights
  3. Whistleblowers, NDAs and SEC Enforcement Action
  4. The Growing Use of SEC Administrative Proceedings: An Historical Perspective from Congress and the Agency
  5. SEC FY 2016 trial scorecard: agency now 4-1-1 after City of Miami trial
  6. SEC Adopts Amendments to Rules of Practice for Administrative Proceedings

Panel 9:  Whistleblower Update

  1. SEC Whistleblower Awards
  2. SEC Sends Message Via Enforcement Action: Don’t Stifle Employee Whistleblowing
  3. SEC’s 2015 Annual Report on the Dodd-Frank Whistleblower Program
  4. More states should consider creating reward programs for securities whistleblowers
  5. SEC protects whistleblowers’ rights in severance agreements, stops ‘retaliation’
  6. SEC Settles Enforcement Cases with Two Companies for Whistleblower Violations
  7. The Growing Use of SEC Administrative Proceedings: An Historical Perspective from Congress and the Agency
  8. SEC Office of the Whistleblower

CLE Info and Forms

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


Links to materials available here.


When: Thursday, October 26, 2017
7:00 am - 8:15 am (breakfast & registration)
8:15 am - 5:00 pm (followed by cocktail party)
Where: Mayflower Hotel
1127 Connecticut Avenue NW
Washington, D.C. 20036
CLE Credit: 6.5 hours (approved in PA)

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