For more than a decade, white collar enforcement has been a top priority for the Justice Department, the SEC, and other prosecutors and regulators. The government has targeted a wide range of business organizations and, in recent years, has focused heavily on prosecutions of individuals. The focus on individuals has led inexorably to more trials, and the past year has seen some notable successes and failures for the government. In today’s world, white collar investigations often transcend international boundaries. In addition, Congress has given the government new statutory authority, including Dodd- Frank, the STOCK Act, and increased white collar penalties. Prosecutors continue to use aggressive investigative techniques such as wiretaps, search warrants, and confidential informants.
This unique and well-established program, now in its fifth 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 and the District of New Jersey, the Department of Justice Fraud Section, the U.S. Securities and Exchange Commission, the Manhattan District Attorney’s Office, and the U.K. Financial Services Authority - as well as federal judges and leading defense practitioners about the current and future priorities for the government and the practical implications for your company or clients.
[Total time 06:25:41]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Introduction* [00:05:06]
James J. Benjamin, Jr., Steven R. Peikin
- Keynote Address* [00:29:31]
Paul J. Fishman
- Review of Significant Cases and Recent Developments [01:08:15]
Susan E. Brune, Daniel R. Alonso, Denis J. McInerney, Marshall L. Miller, Lorin L. Reisner
- Securities Enforcement - Developments and Trends [01:12:49]
Jodi Misher Peikin, Marc P. Berger, Polly Greenberg, Karen Patton Seymour, James McMahon, Andrew M. Calamari, David Meister
- The Government's Continuing Focus on Individuals: Exploring the Challenges For Prosecutors and Defense Counsel [01:14:08]
Marjorie J. Peerce, Isabelle A. Kirshner, Hon. Cathy Seibel, Craig A. Stewart, Richard B. Zabel
- A New Facet to the Special Relationship: Cooperation in White Collar Investigations Between the U.S. and U.K. [00:59:53]
Robert H. Hotz, Jr., Sarah Clarke, David Esseks, Rod Fletcher, Jeffrey H. Knox, Claudius O. Sokenu
- Trial Tactics [01:15:59]
Barry H. Berke, Reed M. Brodsky, Eric B. Bruce, Hon. Richard J. Sullivan
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- Financial Crimes Report to the Public
Susan E. Brune
- U.S. Securities and Exchange Commission, FY 2011 Performance and Accountability Report (pp. 12-20, 189-203)
- Testimony of Robert Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission: Examining the Settlement Practices of U.S. Financial Regulators, May 17, 2012
- SEC Enforcement Actions: Insider Trading Cases
- U.S. Securities and Exchange Commission, Division of Enforcement, Enforcement Manual, Sec. 6.1-6.2.4, Mar. 9, 2012
- Disciplinary Proceedings Against Attorneys Under SEC Rule 102(e): An Update Since the Initial Altman Decision
Karen Patton Seymour
- Whistleblower Provisions: SEC Issues Final Rules Implementing the Dodd-Frank Whistleblower Provisions
- The Personal Benefit Test in Misappropriation Cases
Jodi Misher Peikin
- Overview of Federal Wiretap Law In White-Collar Cases
Richard J. Morvillo, Robert J. Anello
- The Wire: Higher Likelihood Innocent Conversations Are Being Intercepted
- United States v. Rajaratnam, No. 09 Cr. 1184 (RJH) (S.D.N.Y. Aug. 12, 2010)
- United States v. Rajaratnam, No. 09 Cr. 1184 (RJH) (S.D.N.Y. Nov. 29, 2010)
- SEC v. Rajaratnam, No. 10-462-cv (2d Cir. Sept. 29, 2010)
- SEC v. Gupta, No. 11 Cr. 907 (JSR) (S.D.N.Y. Mar. 26, 2012)
- Materials Submitted by Marjorie J. Peerce, Stillman and Friedman P.C.
- A New Facet to the Special Relationship: Cooperation in White Collar Investigations Between the U.S. and the U.K.
Robert H. Hotz, Jr., Rod Fletcher
- Market Abuse and Insider Dealing -- Recent Cases, Current FSA Themes and International Co-operation
- FCPA, Bribery Act & other Global AntiCorruption Insights An Update on Recent Foreign Corrupt Practices Act, U.K. Bribery Act and other Global Anti-Corruption Enforcement, Litigation, and Compliance Developments
Claudius O. Sokenu
- The Practice of Federal Criminal Law: Prosecution and Defense
Barry H. Berke
- Inside the "FCPA Sting" Trial: Anatomy of a Failed Prosecution
Eric B. Bruce
- Trial Tactics
Eric B. Bruce
Daniel R. Alonso
~ Chief Assistant District Attorney, New York County District Attorney's Office
~ Chief, Securities & Commodities Fraud Unit, United States Attorney's Office, Southern District of New York
Reed M. Brodsky
~ Assistant United States Attorney, United States Attorney's Office, Southern District of New York
Andrew M. Calamari
~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Paul J. Fishman
~ United States Attorney, United States Attorney's Office, District of New Jersey
Jeffrey H. Knox
~ Principal Deputy Chief, Faud Section, Criminal Division, U.S. Department of Justice
~ Chief, Business and Securities Fraud Section, United States Attorney's Office, Eastern District of New York
~ Director of Enforcement, U.S. Commodity Futures Trading Commission
Marshall L. Miller
~ Chief, Criminal Division, United States Attorney's Office, Eastern District of New York
Lorin L. Reisner
~ Chief, Criminal Division, United States Attorney's Office, Southern District of New York
Richard B. Zabel
~ Deputy United Sates Attorney, United States Attorney's Office, Southern District of New York
PLI makes every effort to accredit its On-Demand Web Programs and Segments. Please check the CLE Calculator above for CLE information specific to your state.
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina8, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Minnesota approves live webcasts ONLY
The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.
Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail firstname.lastname@example.org.