6-Hour Program

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Overview

Why You Should Attend

In an increasingly global and coordinated fashion, the Department of Justice, the SEC, the CFTC, and other U.S. and foreign agencies are pressing forward with a white collar enforcement program of unprecedented scope and severity. With a spotlight on the financial services sector, the authorities are advancing novel theories and exacting increasingly draconian penalties. The government’s enforcement agenda is broad and complex, encompassing trading violations in commodities, securities, and derivative markets; bank regulatory matters such as anti-money laundering and sanctions compliance; accounting fraud; foreign corrupt practices; and, increasingly, cyber crime.

This unique program, now in its eighth year, will give you the background and tools necessary to deal with white collar cases and civil enforcement actions, and to design and implement effective compliance and risk management strategies. You will hear directly from current and former high-level officials in many of the country’s top enforcement agencies – including the U.S. Attorney’s Offices for the Southern and Eastern Districts of New York, the Department of Justice, the U.S. Securities and Exchange Commission, the U.S. Commodity Futures Trading Commission, the Manhattan District Attorney’s Office, the Federal Reserve Bank of New York, and the New York State Department of Financial Services  — as well as leading defense practitioners, about the current and future priorities for the government and the practical implications for your company or clients.

What You Will Learn

• An update on the current priorities and recent significant cases handled by the major white-collar enforcement agencies
• Examination of novel and emerging theories of liability in trading cases, including inadequate or inaccurate disclosures on cost, markup, and profit as well as spoofing, disruptive trading, and market manipulation
• Discussion of the increasingly complex process in achieving a global corporate resolution, with a review of monitors, compliance consultants, financial components of settlement, and the distinctions between NPAs, DPAs, and corporate guilty pleas.
• A focus on bank regulation and enforcement, with particular attention to AML and sanctions compliance failures, and the implications for banks and their current and former employees
• Developments and compliance challenges in assessing and guarding against the risks of cyber crime
• Lessons from recent white collar trials, and risk areas that compliance and in-house lawyers should be prepared to address

Credit Offered: CLE and CPD

Who Should Attend

This program is designed for lawyers who defend and prosecute civil enforcement actions and white collar criminal cases, as well as in-house and outside corporate counsel, and internal auditors and compliance officers. Additionally, government attorneys, forensic accountants, and other experts and consultants who handle white collar internal investigations, civil enforcement actions and criminal prosecutions will find this program extremely valuable.

Credit Details