On-Demand   On-Demand Web Programs

Enforcement 2014: Perspectives from Government Agencies

Released on: May. 9, 2014
Running Time: 06:18:55

Running Time Segment Title Faculty Format
[01:53:43] Enforcement Priorities Jeffrey P. Ehrlich ~ Deputy Enforcement Director, Office of Enforcement, Consumer Financial Protection Bureau (CFPB)
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
William Stellmach ~ Principal Deputy Chief, Fraud Section, Criminal Division, U.S. Department of Justice
J. Bradley Bennett ~ Executive Vice President, Enforcement, FINRA
On-Demand MP3 MP4
[01:00:42] Swaps and Derivatives and Market Enforcement Daniel Braun ~ Deputy Chief for Litigation, Fraud Section, Criminal Division, U.S. Department of Justice
Gretchen L. Lowe ~ Principal Deputy Director and Chief Counsel, U.S. Commodity Futures Trading Commission
Kenneth M. Raisler ~ Sullivan & Cromwell LLP
Shari D. Leventhal ~ Deputy General Counsel and Senior Vice President, Federal Reserve Bank of NY
Michael J. Osnato ~ Chief of the Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:15:20] Financial Reporting and Fraud Gareth Rees ~ Executive Counsel, Conduct Division, Financial Reporting Council
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
David R. Woodcock ~ Regional Director - Fort Worth Regional Office, US Securities and Exchange Commission
William R. Baker III ~ Latham & Watkins LLP
On-Demand MP3 MP4
[01:03:02] Legal and Policy Developments Sara L. Shudofsky ~ Chief, Civil Division, U.S. Attorney's Office
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Michael A. Conley ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
On-Demand MP3 MP4
[01:01:09] Ethics Dixie L. Johnson ~ King & Spalding
Lorin L. Reisner ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Stephen L. Cohen ~ Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
Christina B. Dugger ~ First Assistant United States Attorney, United States Attorney's Office, Eastern District of New York
On-Demand MP3 MP4

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. 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 today’s rapidly changing enforcement environment.

Lecture Topics  [Total time 06:18:55]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks and Introduction* [00:04:59]
  • Enforcement Priorities [01:53:43]
    Colleen P. Mahoney, Andrew J. Ceresney, J. Bradley Bennett, Jeffrey P. Ehrlich, William Stellmach
  • Swaps and Derivatives and Market Enforcement [01:00:42]
    Kenneth M. Raisler, Gretchen L. Lowe, Shari D. Leventhal, Michael J. Osnato, Daniel Braun
  • Financial Reporting and Fraud [01:15:20]
    William R. Baker III, Claudius B. Modesti, David R. Woodcock, Gareth Rees
  • Legal and Policy Developments [01:03:02]
    Mark D. Cahn, Michael A. Conley, J. Gordon Seymour, Sara L. Shudofsky
  • Ethics [01:01:09]
    Dixie L. Johnson, Stephen L. Cohen, Barbara B. Hannigan, Lorin L. Reisner, Christina B. Dugger

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • SEC Enforcement Trends
    Andrew Lawrence, Charles F Walker, Colleen P. Mahoney, Erich T. Schwartz
  • CFTC Anti-Fraud and Anti-Manipulation Enforcement Authority
    Kenneth M. Raisler
  • Outline of Selected SEC Enforcement Actions, October 2013
    David R. Woodcock
  • PLI Enforcement 2014: Perspectives from Government Agencies, Legal and Policy Developments
    Mark D. Cahn
  • SEC v. Citigroup Global Markets Inc., 827 F. Supp. 2d 328 (S.D.N.Y. 2011)
    Mark D. Cahn
  • SEC v. Citigroup Global Markets Inc., 673 F.3d 158 (2d Cir. 2012)
    Mark D. Cahn
  • Public Statement by SEC Staff: Recent Policy Change, Robert Khuzami, Director of the SEC’s Division of Enforcement, U.S. Securities and Exchange Commission, Jan. 7, 2012
    Mark D. Cahn
  • SEC Speech by Chair Mary Jo White, Deploying the Full Enforcement Arsenal, Council of Institutional Investors Fall Conference in Chicago, IL, Sept. 26, 2013
    Mark D. Cahn
  • SEC Press Release No. 2014-17, Scottrade Agrees to Pay $2.5 Million and Admits Providing Flawed “Blue Sheet” Trading Data, Jan. 29, 2014
    Mark D. Cahn
  • Recent Work of the Public Company Accounting Oversight Board: 2013 and the First Part of 2014
    J. Gordon Seymour
  • SEC Press Release No. 2012-249, SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws in Refusing to Produce Documents, Dec. 3, 2012
    Mark D. Cahn
  • Memorandum of Understanding Between the Public Company Accounting Oversight Board of the United States and The China Securities Regulatory Commission and The Ministry of Finance of China
    Mark D. Cahn
  • SEC v. Deloitte Touch Tohmatsu CPA Ltd., No. 11-mc-00512-GK, (D.D.C. Jan. 27, 2014), Joint Motion to Dismiss Without Prejudice
    Mark D. Cahn
  • In the Matter of BDO China Dahua CPA Co., Ltd., et al. SEC Admin. Proceeding Nos. 3-14872 and 3-15116 (Jan. 22, 2014), Initial Decision (Public)
    Mark D. Cahn
  • Memorandum To Staff of the Rulewriting Divisions and Offices From RSFI and OGC Re: Current Guidance on Economic Analysis in SEC Rulemakings, March 16, 2012
    Mark D. Cahn
  • WilmerHale Publications & News, Conflict Minerals—A Summary of the SEC’s Final Rules, September 21, 2012
    Jonathan Wolfman, Mark D. Cahn, Thomas W. White
  • National Association of Manufacturers v. SEC, No. 13–cv–635, 2013 WL 3803918 (D.D.C. July 23, 2013)
    Mark D. Cahn
  • American Petroleum Institute v. SEC, No. 12–cv–1668, 2013 WL 3307114 (D.D.C. July 2, 2013)
    Mark D. Cahn
  • SEC Press Release No. 2013-207, SEC Charges Three Auditors in Continuing Crackdown on Violations or Failures by Gatekeepers, Sept. 30, 2013
    Mark D. Cahn
  • NYCLA Committee on Professional Ethics, Formal Opinion 746, Ethical Conflicts Caused by Lawyers as Whistleblowers Under the Dodd-Frank Wall Street Reform Act of 2010, October 7, 2013
    Mark D. Cahn
  • Bloomberg BNA, Securities Regulation & Law Report, SEC Enforcement Developments: Renewed Focus on Lawyers
    Mark D. Cahn, William R. McLucas
  • U.S. v. Countrywide Financial Corp., No. 12–cv–1422, 2013 WL 4437232 (S.D.N.Y. Aug. 16, 2013)
    Mark D. Cahn
  • U.S. v. Wells Fargo Bank, No. 12–cv–7527, 2013 WL 5312564 (S.D.N.Y. Sept. 24, 2013)
    Mark D. Cahn
  • U.S. v. Bank of New York Mellon, 941 F. Supp.2d 438 (S.D.N.Y. 2013)
    Mark D. Cahn
  • Altman v. SEC, 666 F.3d 1322 (D.C. Cir. 2011)
    Dixie L. Johnson
  • Securities Enforcement—Zealous Advocacy and Offending the SEC: The SEC’s Lawyer Discipline Program, INSIGHTS, The Corporate and Securities Law Advisor, Volume 26, Number 10, October 2012
    Dixie L. Johnson
  • Update on the SEC’s Lawyer Disciplinary Program
    Dixie L. Johnson
  • In the Matter of David M. Tamman, Esq., SEC Release No. 63785/January 27, 2011, Administrative Proceeding File No. 3-14207, Order Instituting Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e)
    Dixie L. Johnson
  • In the Matter of David M. Tamman, Esq., SEC Release No. 69746/June 12, 2013, Administrative Proceeding File No. 3-14207, Order Making Findings and Denying Privilege to Appear or Practice Before the Commission by Default
    Dixie L. Johnson
  • U.S. Attorney’s Office, S.D.N.Y. Press Release: Joseph Collins, Principal Attorney for Former Commodities Firm Refco, Sentenced in Manhattan Federal Court to One Year and One Day in Prison for Securities Fraud, July 15, 2013
    Dixie L. Johnson
  • The Association of the Bar of the City of New York Committee on Professional and Judicial Ethics, Formal Opinion 2004-02, Representing Corporations and Their Constituents in the context of Governmental Investigations
    Dixie L. Johnson
  • NYCLA Committee on Professional Ethics, Formal Opinion 746, Ethical Conflicts Caused by Lawyers as Whistleblowers Under the Dodd-Frank Wall Street Reform Act of 2010, October 7, 2013 (SEE CHAPTER 20)
    Dixie L. Johnson
  • Speech by SEC Staff, Remarks to Criminal Law Group of the UJA-Federation of New York, by Robert S. Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission, New York City, June 1, 2011
    Dixie L. Johnson
  • Excerpt from the Securities and Exchange Commission Enforcement Manual, October 9, 2013, Section 4.3—Waiver of Privilege
    Dixie L. Johnson
  • Excerpt from the United States Attorneys’ Manual, Section 9-28.000—Principles of Federal Prosecution of Business Organizations
    Dixie L. Johnson
Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Moderator(s)
William R. Baker III ~ Latham & Watkins LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Dixie L. Johnson ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Kenneth M. Raisler ~ Sullivan & Cromwell LLP
Speaker(s)
J. Bradley Bennett ~ Executive Vice President, Enforcement, FINRA
Daniel Braun ~ Deputy Chief for Litigation, Fraud Section, Criminal Division, U.S. Department of Justice
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Stephen L. Cohen ~ Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission
Christina B. Dugger ~ First Assistant United States Attorney, United States Attorney's Office, Eastern District of New York
Jeffrey P. Ehrlich ~ Deputy Enforcement Director, Office of Enforcement, Consumer Financial Protection Bureau (CFPB)
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Shari D. Leventhal ~ Deputy General Counsel and Senior Vice President, Federal Reserve Bank of NY
Gretchen L. Lowe ~ Principal Deputy Director and Chief Counsel, U.S. Commodity Futures Trading Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Michael J. Osnato ~ Chief of the Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Gareth Rees ~ Executive Counsel, Conduct Division, Financial Reporting Council
Lorin L. Reisner ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Sara L. Shudofsky ~ Chief, Civil Division, U.S. Attorney's Office
William Stellmach ~ Principal Deputy Chief, Fraud Section, Criminal Division, U.S. Department of Justice
David R. Woodcock ~ Regional Director - Fort Worth Regional Office, US Securities and Exchange Commission

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