This is a webcast of the live New York session.Why you should attend
Across a broad range of businesses – including most prominently the financial sector – the Department of Justice, the SEC, and other prosecutors and regulators are cracking down with an enforcement program of unprecedented vigor and breadth. Advancing novel and creative theories, and exacting increasingly draconian penalties, the government has demonstrated, repeatedly and emphatically, that it is committed to aggressive enforcement. “Headline” cases over the past year include Libor, insider trading, financial crisis offenses, and a series of high-profile public corruption prosecutions featuring colorful allegations and unconventional investigative techniques such as informants and surreptitious recordings.
This unique and vibrant program, now in its sixth 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 Fraud Section, the U.S. Securities and Exchange Commission, the U.S. Commodity Futures Trading Commission – 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.
What you will learn
- Current enforcement priorities, including an assessment of trends and significant cases over the past year
- Lessons from the recent insider trading trials, and risk areas that should be addressed by compliance and in-house lawyers
- The SEC’s future enforcement agenda now that the financial crisis cases seem to be nearing completion
- A focus on public corruption, with an assessment of recent significant cases brought by the Department of Justice in New York and elsewhere
- An in-depth discussion of Libor as a case study of a complex, cross-border, industry-wide, multi-agency enforcement effort
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.
PLI Group Discounts
Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.
PLI Can Arrange Group Viewing to Your Firm
Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.
Cancellations
All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.
All times are E.D.T.
Morning Session: 9:00 a.m. - 12:00 p.m. (E.D.T.)
9:00 Introduction
James J. Benjamin, Jr., Steven R. Peikin
9:05 Keynote Address
Andrew J. Ceresney, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission, Washington, DC
9:30 Review of Significant Cases and Recent Developments
- What are the important developments over the past year in the area of white collar enforcement?
- What are the current priorities for prosecutors and regulators?
- How can defense counsel effectively represent their clients in the current environment?
Moderator: Susan E. Brune
Panelists: Andrew M. Calamari, Jeffrey H. Knox, Marshall L. Miller, Lorin L. Reisner
10:45 Networking Break
11:00 Insider Trading
- Review of recent insider trading cases and lessons from recent developments
- Designing and implementing an effective compliance program in an era of heightened enforcement
- Practical tips for representing individuals and businesses in insider trading investigations and prosecutions
- What is the STOCK Act? Can insider trading cases now be brought on the basis of government information?
Moderator: Robert H. Hotz
Panelists: Reed Brodsky, Michael C. Neus, David M. Rody, Anjan S. Sahni
12:15 Lunch
Afternoon Session: 1:15 p.m. - 5:00 p.m. (E.D.T.)
1:15 Securities Enforcement Beyond the Financial Crisis
- Five years after the depths of the financial crisis, what are the new priorities for securities prosecutors and regulators? Is it “Back-to-the-Future” with accounting fraud and disclosure cases?
- How do the SEC and other agencies identify potential violations and emerging areas for scrutiny? Is there anything that industry participants or defense counsel can do to stay ahead of the curve?
- How have the SEC’s new protocols and reorganized Enforcement Division affected the landscape for defense counsel advising clients in SEC investigations?
Moderator: Jodi Misher Peikin
Panelists: David B. Anders, Marc P. Berger, Janet Broeckel, Valerie Szczepanik
2:30 Public Corruption
- A discussion of recent significant public corruption cases
- What accounts for the dramatic uptick in high-profile corruption enforcement? Has the government deployed new legal theories or investigative techniques?
- What are the lessons for clients who interact with public officials or support political campaigns? Are there pitfalls to be avoided or compliance strategies to be developed?
Moderator: Joshua G. Berman
Panelists: Benjamin Brafman, Christina Dugger, Hon. Richard J. Sullivan, Richard B. Zabel
3:30 Networking Break
3:45 Case Study: Investigations of Libor and Benchmark Interest Rates
- A close examination of the global LIBOR and other benchmark interest rate investigations
- Do the LIBOR cases represent a new paradigm for cross-border white collar enforcement?
- Do corporate resolutions that involve guilty pleas signal the demise of DPAs and NPAs?
- What strategies for defending these investigations have worked (and failed)?
Moderator: John K. Carroll
Panelists: Daniel Braun (invited), Andrew J. Levander, Gretchen Lowe
5:00 Adjourn
Co-Chair(s)
Speaker(s)
Marc P. Berger ~ Co-Chief, Securities & Commodities Task Force, United States Attorney's Office, Southern District of New York
Joshua G. Berman ~ Co-Chair, National White Collar Practice, Katten Muchin Rosenman LLP
Daniel Braun--(Invited) ~ Deputy Chief for Litigation, Fraud Section, Criminal Division, U.S. Department of Justice
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Andrew J. Ceresney ~ Co-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
Jeffrey H. Knox ~ Chief, Criminal Division, Fraud Section, U.S. Department of Justice
Gretchen L. Lowe ~ Associate Director, Division 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
Anjan Sahni ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Valerie A. Szczepanik ~ Assistant Director, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Richard B. Zabel ~ Deputy United Sates Attorney, United States Attorney's Office, Southern District of New York
Program Attorney(s)
PLI makes every effort to accredit its Live Webcasts. Please check the CLE Calculator above for CLE information specific to your state.
PLI's Live Webcasts are approved for MCLE credit (
unless otherwise noted in the product description) in the following states/territories: Alabama, Alaska, Arkansas, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois, Indiana
1, Iowa*, Kansas*, Kentucky*, Louisiana, Maine*, Minnesota, Mississippi, Missouri, Montana, Nebraska, North Carolina, North Dakota, New Hampshire*, New Jersey, New Mexico, Nevada, New York
2, Ohio
3, Oklahoma, Oregon*, Pennsylvania
4, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia
5, Virgin Islands, Washington, West Virginia, Wisconsin, and Wyoming*.
*PLI will apply for credit upon request.
Arizona: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
Arkansas and Oklahoma: Audio-only live webcasts are not approved for credit.
1Indiana: Considered a distance education course. There is a 6 credit limit per year.
2New York: Newly admitted attorneys may not take non-transitional course formats such as on-demand audio or video 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.
3Ohio: To confirm that the live webcast 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 biennial 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.
4 Pennsylvania: A live webcast may be viewed individually or in a group setting. Credit may be granted to an attorney who views a live webcast individually. There is a 4.0 credit limit per year for this type of viewing. A live webcast viewed in a group setting receives live participatory credit if the program is open to the public and advertised at least 30 days prior to the program. Live webcasts viewed in a group setting that do not advertise at least 30 days prior the program will be considered "in-house", and therefore denied credit.
5Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
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.
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, refer to your state CLE website or call Customer Service at (800) 260-4PLI (4754) or email: info@pli.edu.
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.