Seminar  Program

Enforcement 2018: Perspectives from Government Agencies


Select a Location:

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute

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. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (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 and Corporate Rate ID 786839408. In addition, you can book online at PLI Muse Hotel

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. In addition, you can book online at PLI Millennium Hotel .

 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.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Illinois: All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live seminars may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live seminars may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live seminars may fulfill CFP credit requirements.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live webcasts qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Louisiana:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Nebraska:  PLI’s live webcasts qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live webcasts qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Ohio:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 8 credits of distance education programs per reporting period.

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

South Carolina:  PLI’s live webcasts qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live webcasts may fulfill Australia’s CPD requirements. Credit limits for live webcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as “Group-Internet-Based” (GIB) credit.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live webcasts may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live webcasts may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live webcasts may fulfill CFP credit requirements.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute
Atlanta Groupcast Location

Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, GA 30303-1601. (404) 521-0781.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance education” credit. Attorneys are limited to 8 credits of distance education programs per reporting period.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute
New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance education” credit. Attorneys are limited to 8 credits of distance education programs per reporting period.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute
Cleveland Groupcast Location

The Cleveland Metropolitan Bar Association, 1375 E. 9th Street – Floor 2, Cleveland, Ohio 44114. 216-696-2404.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance education” credit. Attorneys are limited to 8 credits of distance education programs per reporting period.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute

Mechanicsburg Groupcast Location

Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg PA 17055, (800) 932-4637. Click here for directions.

Mechanicsburg Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Hampton Inn Harrisburg-West, 4950 Ritter Road, Mechanicsburg, Pennsylvania, USA 17055. Tel: 717-691-1300. Fax: 717-691-9692.

Homewood Suites by Hilton® Harrisburg-West Hershey Area, 5001 Ritter Road, Mechanicsburg, Pennsylvania, United States 17055. Tel: 1-717-697-4900. Fax: 1-717-697-9101.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance education” credit. Attorneys are limited to 8 credits of distance education programs per reporting period.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute

Pittsburgh Groupcast Location

Pennsylvania Bar Institute, Professional Development Conference Center, 339 Sixth Avenue, Suite 760, Pittsburgh, Pennsylvania 15222-2517. (412) 802-2300. Click Here for Directions

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance education” credit. Attorneys are limited to 8 credits of distance education programs per reporting period.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor.

The new administration will continue to bring 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. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of Justice, U.S. Commodity Futures Trading Commission, Federal Energy Regulatory Commission, FBI, FINRA, and the Public Company Accounting Oversight Board. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 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 will benefit from this timely program.

 

Topics Include

  • 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 2018
  • Legal and policy developments in the enforcement space
  • How new rules regarding swaps and derivatives will affect your practice
  • Latest enforcement developments related to financial reporting and disclosure
  • The cybersecurity landscape

 

Special Features

  • Perspectives from various government enforcement agencies on each panel
  • Earn one hour of Ethics credit

 

Credit Available: CLE, CPE and CPD


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.

9:00 Opening Remarks

Joan E. McKown, Richard D. Owens, Linda Chatman Thomsen



9:15 Enforcement Priorities
  • Overview of agency missions and current priorities
  • Impact of new administration and changes in personnel
  • Hot issues in federal law enforcement
  • Cases against individuals
  • Remedies
  • What is the next new Enforcement area
  • Interagency coordination: What, When, Why and How

Panel Leader: Colleen P. Mahoney
Speakers: James  McDonald, Claudius B. Modesti, Sandra L. Moser, Steven R. Peikin



10:30 Networking Break

10:45 Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past                                                          
  • New developments in swaps and derivatives law and regulation
  • Update on enforcement trends: manipulation, fraud and false price reporting
  • Civil and criminal exposure – industry-wise practices, how to prepare a defense
  • Foreign exchange swaps and derivatives

Panel Leaders: Geoffrey F. Aronow
Speakers: Gretchen L. Lowe, Daniel Michael, Larry R. Parkinson, Benjamin Singer



11:45 The Cybersecurity Landscape: Working with Law Enforcement
  • Working with law enforcement before, during, and after a cybersecurity event
  • Whether companies are viewed as victims or violators?
  • Disclosure, internal control and governance issues
  • Latest case and investigation developments
  • Cryptocurrencies

Panel Leader: Avi Gesser
Speakers: Kristen Anderson, Robert Cohen, Richard T. Jacobs, Clark P. Russell



12:45 Lunch

1:45 Retail Investors: The New Enforcement Frontier?
  • Fiduciary Issues
  • Sales Practices
  • Issuer Based Threats
  • Investigative Techniques

Panel Leader: Leslie R. Caldwell
Speakers: Charu Chandrasekhar, Jessica Hopper, Alixandra Smith



2:45 Legal and Policy Developments in Enforcement
  • Use of administrative proceedings-constitutional?
  • State securities law issues
  • Statute of limitations
  • Kokesh progeny: Is disgorgement a penalty or statute of limitations
  • Whistleblowers

Panel Leader: Mark D. Cahn
Speakers:  Michael A. Conley, Jason Cowley, J. Gordon Seymour



3:45 Networking Break

4:00 Ethical Issues that Arise When Working with Government Agencies                                                          
  • Individual Representation
  • Joint Representation – entities and individuals
  • Issues in dealing with government agencies
  • Privilege waivers and individual reliance on advice of counsel
  • When to waive the privilege and when not to
  • Courts eroding the privilege for internal investigations in the U.S. and abroad

Moderator: Dixie L. Johnson
Speakers: Barbara B. Hannigan, Thomas M. Noone, Jeff Rosenblum, Scott Schools



5:00 Adjourn

Co-Chair(s)
Joan E. McKown ~ Jones Day
Richard D. Owens ~ Latham & Watkins LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Speaker(s)
Kristen Anderson ~ Attorney, Division of Privacy and Identity Protection, Federal Trade Commission
Geoffrey F. Aronow ~ Sidley Austin LLP
Mark D. Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Leslie R. Caldwell ~ Latham & Watkins LLP
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, SDNY
Avi Gesser ~ Davis Polk & Wardwell LLP
Barbara B. Hannigan ~ Ethics Officer and Senior Compliance Counsel, Public Company Accounting Oversight Board
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Richard T. Jacobs ~ Cyber Branch, Federal Bureau of Investigation
Dixie L. Johnson ~ King & Spalding
Gretchen L. Lowe ~ Chief Counsel, Division of Enforcement, U.S. Commodity Futures Trading Commission
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Claudius B. Modesti ~ Director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
Sandra L. Moser ~ Acting Chief, Fraud Section, U.S. Department of Justice
Thomas M. Noone ~ Counsel and Assistant Vice President, Federal Reserve Bank of New York
Larry R. Parkinson ~ Director, Office of Enforcement, Federal Energy Regulatory Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Clark P. Russell ~ AAG (Deputy Bureau Chief), NY State Office of Attorney General
Scott Schools ~ Associate Deputy Attorney General, U.S. Department of Justice
J. Gordon Seymour ~ General Counsel, Public Company Accounting Oversight Board
Benjamin Singer ~ Chief, Securities & Financial Fraud Unit, U.S. Department of Justice
Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
Program Attorney(s)
Dana M. Berman ~ Program Attorney, Practising Law Institute

Philadelphia Groupcast Location

Pennsylvania Bar Institute, The CLE Conference Center, Wanamaker Building, 10th floor, Suite 1010, Center City Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). (800) 932-4637. Click here for directions.

Philadelphia Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Marriott Residence Inn

Ritz Carlton

Loews Philadelphia

Philadelphia Marriott Downtown

Hilton Garden Inn

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance education” credit. Attorneys are limited to 8 credits of distance education programs per reporting period.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

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