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, 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.
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 2014
- Legal developments in the enforcement space
- 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
- 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.
Morning Session: 9:00 a.m. - 12:15 p.m.
9:00 Opening Remarks and Introduction
9:15 Enforcement Priorities
- Individuals/entities or both
- Remedies: What to expect
- Interagency coordination and competition
- Regulation by enforcement or general deterrence
Moderator: Colleen P. Mahoney
Speakers: J. Bradley Bennett, Andrew Ceresney, Jeffrey P. Ehrlich, William Stellmach
11:00 Networking Break
11:15 Swaps and Derivatives and Market Enforcement
- New developments in swaps and derivatives law and regulation post Dodd-Frank
- Update on enforcement trends: manipulation, fraud and false price reporting
- Civil and criminal exposure – industry-wide practices, how to prepare a defense
Moderator: Kenneth M. Raisler
Speaker: Daniel Braun, Shari D. Leventhal, Gretchen L. Lowe, Michael J. Osnato
Afternoon Session: 1:30 p.m. - 5:00 p.m.
1:30 Financial Reporting and Fraud
- International issues - challenges in fact gathering
- Jurisdiction in global securities markets
- Negligence based cases - how small will the government go?
- Individual liability
Moderator: William R. Baker III
Speakers: Claudius B. Modesti, Gareth Rees, David Woodcock
2:45 Legal and Policy Developments
- Not admit nor deny
- International issues
- Regulations in the Courts
- Lawyers as whistleblowers and the role of State Bars
Moderator: Mark D. Cahn
Speakers: Michael A. Conley, J. Gordon Seymour, Sara L. Shudofsky
3:45 Networking Break
- Joint Representation - Entities and Individuals
- Issues in dealing with Government agencies
- When to waive the privilege and when not to
- Issues when leaving or joining the Federal government
Moderator: Dixie L. Johnson
Speakers: Stephen L. Cohen, Christina B. Dugger, Barbara B. Hannigan, Lorin L. Reisner
~ 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
~ Executive Counsel, Conduct Division, Financial Reporting Council
~ 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
New York City Seminar Location
PLI New York Center, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. Message Center, program days only: (212) 824-5733.
New York City Hotel Accommodations
Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.
The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute. You can also book online at https://gc.synxis.com/rez.aspx?Hotel=26750&Chain=10179&promo=PRLW.
Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online at https://gc.synxis.com/rez.aspx?Hotel=11533&Chain=5303&promo=PLAW.
Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.
PLI seminars qualify for credit in all states that require mandatory continuing legal education for attorneys. Please be sure to check with your state.
Please check the Credit Information box to the right of each product description for credit information specific to your state.
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.
Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.
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.
Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.