Why you should attend
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, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of the Treasury, U.S. Department of Justice, Federal Reserve Bank of New York, Public Company Accounting Oversight Board, Consumer Financial Protection Bureau, and Office of Foreign Assets Control, 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.
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?
- Changes in practice, and practical ways to deal with those changes
- Practical implications of dealing with multi-agency investigations
- Hot topics in enforcement: the agencies’ perspectives for 2013
- Legal developments in the enforcement space: hear a review of important enforcement decisions from the past year
- How will new rules and statutes affect your practice?
- Regulatory agenda - what’s on the horizon
- Ethical issues in enforcement: earn one hour of Ethics CLE credit
Special Features
- Perspectives from various government enforcement agencies on each panel
- One full 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.
9:00 Opening Remarks and Introduction
9:15 Enforcement Priorities
- Changing priorities with President Obama remaining in DC - what is on the horizon?
- How are agencies effectively handling limited budgets - has thought been given to dividing up the work more?
- Coordination - recent examples
- Impact of JOBS Act and Dodd-Frank provisions on cases and how the agencies are coordinating from an enforcement perspective?
- Practical implications of dealing with multi-agency investigations
Moderator: Erich T. Schwartz
Speakers: J. Bradley Bennett, George S. Canellos, Christina B. Dugger, Jeffrey P. Ehrlich, Vincent A. McGonagle, Claudius B. Modesti
11:00
Networking Break
11:15
Whistleblower and FCA
- President Obama in DC - effect on whistleblower programs?
- Update on bounties
- Practical observations about anti-retaliation provisions
- Impact of whistleblower provisions on enforcement agencies’ agendas
- Effective steps for entities to encourage whistleblowers to report in-house first - and how to handle whistleblowers spreading false rumors
- Trends in terms of allegations
Moderator: Jordan A. Thomas
Speakers: Stephen L. Cohen, Robert B. Gardner (via Audio-Conference), Sara L. Shudofsky, Manal Sultan
12:15
Lunch
Afternoon Session: 1:30 p.m. - 5:00 p.m.
1:30
Foreign Facing Conduct: Enforcement and Sanctions Update
- FCPA update - what are the limits?
- Impact of foreign data privacy laws on U.S. investigations
- Global insider trading enforcement
- Anti-corruption enforcement beyond the FCPA
- Anti-money laundering issues and trends involving foreign customers and conduct
- Issues arising from the use of foreign finders
Moderator: Cheryl J. Scarboro
Speakers: Antonia Chion, Sarah Green, Claudius B. Modesti
2:45
Legal Issues in the Courts: The Year in Review
- Clawback litigation
- Any impact of judicial skepticism regarding regulation of enforcement?
- Hot button issues for district courts: settlement review, not admit or deny
- How the financial crisis cases are doing on review
- Current legal issues in insider trading
Moderator: David M. Becker
Speakers: Daniel Braun, Mark D. Cahn, Arlo Devlin-Brown
3:45
Networking Break
4:00
Ethics
- Ethical consideration inherent in regulatory actions involving multiple agencies
- Conflicts of interest in representing multiple parties in multi-agency investigation
- Obligation to cooperate on exam side versus investigations
- Issues inherent in self-reporting and cooperating
- Lawyers as whistleblowers
- Revolving door issues - ethical issues for those moving between the public and private sectors
Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Lorin L. Reisner, Valerie A. Szczepanik
5:00
Adjourn
Co-Chair(s)
Moderator(s)
Speaker(s)
Daniel Braun--(Invited) ~ Deputy Chief for Litigation, Fraud Section, Criminal Division, U.S. Department of Justice
George S. Canellos ~ Acting Director, Division of Enforcement, U.S. Securities and Exchange Commission
Antonia Chion ~ Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
Stephen L. Cohen ~ Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
Arlo Devlin-Brown ~ Assistant United States Attorney, United States Attorney's Office
Christina B. Dugger ~ First Assistant U.S. Attorney, United States Attorney's Office, Eastern District of New York
Jeffrey P. Ehrlich ~ Assistant Litigation Deputy, Division of Enforcement, Consumer Financial Protection Bureau (CFPB)
Robert B. Gardner ~ Program Manager, Case Development and Oversight, Office of Whistleblower Programs
Barbara Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Vincent McGonagle ~ Senior Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Lorin L. Reisner ~ Chief, Criminal Division, United States Attorney's Office, Southern District of New York
Manal Sultan ~ Chief Trial Attorney, Division of Enforcement, US Commodity Futures Trading Commission
Valerie A. Szczepanik ~ Assistant Director, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Program Attorney(s)
New York City Seminar Location
PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.
New York City Hotel Accommodations
The New York Hilton & Towers1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is 0495741. You can also
make reservations online to access Practising Law Institute rates.
The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at www.warwickhotelny.com Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to: res.ny@warwickhotels.com
Sheraton New York Hotel & Towers, 811 7th Avenue, New York, NY 10019, 1-800-325-3535 or (212) 581-1000. When calling, please mention Practising Law Institute and mention SET#311155. You may also book
online.
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Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys. All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.
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