6-Hour Program

See Credit Details Below

Overview

Why You Should Attend

We continue to see unprecedented enforcement efforts by government and regulatory agencies. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of the Treasury, U.S. Department of Justice, Public Company Accounting Oversight Board, and Consumer Financial Protection Bureau, moderated by a law firm enforcement practitioner, to discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment.

What You Will Learn

  • Enforcement priorities of Federal and State regulators and law enforcers
  • What are the agencies thinking about, what are they focusing on, how are they working together and how do you need to work with them?
  • Evolving enforcement practices, and practical ways to deal with those changes
  • Practical implications of dealing with multi-agency investigations
  • Hot topics in enforcement: the agencies’ perspectives for 2015
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Implications of financial services cases
  • Ethical issues in enforcement actions and investigations

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics CLE credit

Who Should Attend

Those who represent, as in-house or outside counsel, businesses and individuals that need to comply with financial regulatory requirements, businesses and individuals that are working hard to avoid regulatory and enforcement scrutiny, and businesses and individuals that, for whatever reason, find themselves under regulatory and enforcement scrutiny.

Credit Details