Securities Enforcement Forum 2017 Materials

Materials by Panel

Panel 1:  Managing a True Corporate Crisis/Major Internal Investigation

  1. Conducting Internal Investigations
  2. Corporate Internal Investigations: Best Practices, Pitfalls to Avoid
  3. How to Protect Attorney-client Privilege in Internal Investigations
  4. Effective Communications During a Crisis
  5. When Should the General Counsel Recommend that the Board Conduct an Independent Investigation?
  6. DOJ Provides Guidance on Its Expectations of “Best Practices” for Corporate Internal Investigations

Panel 2: FCPA Trends and Developments

  1. Telecommunications Company Paying $965 Million For FCPA Violations
  2. 2017 Mid-Year FCPA Update
  3. Foreign Corrupt Practices Act 2017 Mid-Year Update
  4. 2016 Year-End FCPA Update
  5. Evaluating FCPA Pilot Program: Lessons And Expectations

Panel 3: Financial Firm Spotlight — Asset Management, Private Equity, Hedge Funds, Broker-Dealers and More

  1. FINRA 2017 Regulatory and Examination Priorities Letter
  2. SEC Examination Priorities for 2017
  3. SEC Chairman Identifies Guiding Principles
  4. SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds
  5. SEC Oversight Of Asset Managers: A Decade In The Making
  6. Ten Questions Key to the Current Regulatory Climate
  7. The Regulatory and Enforcement Outlook for Financial Institutions in 2017: Trends in Sanctions, Anti-Money Laundering and Cybersecurity
  8. The Year in Review: SEC Enforcement Actions Against Investment Advisers

Panel 4:  Whistleblower Update

  1. SEC’s 2016 Annual Report on the Dodd-Frank Whistleblower Program
  2. Highlights of SEC’s 2016 Annual Whistleblower Report
  3. Who Is a Whistleblower Under Dodd-Frank’s Anti-Retaliation Provisions?
  4. One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective
  5. SEC Office of the Whistleblower
  6. Top 10 SEC Whistleblower Awards

Panel 5: Director’s Panel

  1. SEC Leadership Discusses Continuing Priorities
  2. Jay Clayton’s Enforcement Priorities
  3. SEC Enforcement’s New Leadership and (Likely) Priorities
  4. 2017 Mid-Year Securities Enforcement Update

Panel 6: Financial and Accounting Fraud

  1. The SEC Enforcement Division’s Focus on Auditors and Auditing
  2. SEC Financial Reporting and Audit (FRAud) Group
  3. Accounting & Financial Reporting Enforcement Round-Up (Sept. 2017)
  4. SEC Enforcement in Financial Reporting and Disclosure—2016 Year in Review
  5. Addressing Challenges for Highly Subjective and Complex Accounting Areas

Panel 7: Insider Trading Trends and Developments

  1. Divided Second Circuit Panel Overrules Prior Newman Insider Trading Decision
  2. On Insider Trading, There Ought to Be a Law
  3. The Extent and Intensity of Insider Trading Enforcement – an International Comparison
  4. SEC’s Trader-Based Approach To Insider Trading Enforcement
  5. Think the SEC EDGAR Data Breach Involved Insider Trading? Think Again.
  6. Insider Trading Law After Salman

Panel 8: Litigating Securities Fraud Cases Against the SEC and DOJ 

  1. D.C. Circuit Deadlocks on Challenge to SEC Judges
  2. Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judges
  3. Circuit Split Cries Out for Supreme Court Review
  4. In Action Against Yahoo, the SEC Seeks Emails Without A Warrant
  5. U.S. Supreme Court Holds SEC Disgorgement Is a Penalty Subject to a Five-Year Statute of Limitations
  6. SEC Administrative Court Dismisses Fraud Charges, Finding That Defendant Provided Adequate Disclosure Even When Disclosure Not Obvious
  7. Congress May Significantly Increase SEC Civil Penalties Up To $10 Million Per Violation




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.


Links to materials available here.

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