Course Handbook  Course Handbook

Enforcement 2018: Perspectives from Government Agencies

Publication Date: May 2018 Number of Volumes: 1
ISBN Number: 9781402431654 Page Count: 592 pages

From:

Download: Table of Contents    Index

Table of Contents
Chapter 1: Colleen P. Mahoney, Charles F. Walker, Erich T. Schwartz, Andrew M. Lawrence, Joshua A. Ellis, Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates, Trends in SEC Enforcement & Internal Investigations (March 2, 2018) Colleen P Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 2: Is the CFTC Becoming the National Fraud Police? The CFTC Goes All In On Policing Fraud In Virtual Currencies, Futures & Derivatives Law Report: The Journal on the Law of Investment & Risk Management Products, Volume 38, Issue 3 (March 2018) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 3: In Re: UBS AG, S.E.C. Release No. 9961, File No. 3-16891 (Oct. 13, 2015) Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Chapter 4: In Re: Coinflip, Inc., d/b/a Derivabit, and Riordan, CFTC Docket No. 15-29 (Sept. 17, 2015) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 5: In Re: TeraExchange LLC, CFTC Docket No. 15-33 (Sept. 24, 2015) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 6: In Re: BFXNA INC. d/b/a BITFINEX, CFTC Docket No. 16-19 (June 2, 2016) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 7: In Re: FORCERANK LLC, S.E.C. Release Nos. 10232; 79093; File No. 3-17625 (2016) Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Chapter 8: In re: Morgan Stanley & Co. LLC, S.E.C. Release No. 79606; File No. 3-17737 (2016) Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Chapter 9: Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties under the Commodity Exchange Act and Commission Regulations, Jury Trial Demanded, CFTC v. Gelfman Blueprint, Inc. and Gelfman, Case No. 17-7181 (S.D.N.Y. 2017) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 10: Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties under the Commodity Exchange Act and Commission Regulations, Jury Trial Demanded, CFTC v. My Big Coin Pay, Inc., Crater, and Gillespie (D. Mass. Jan. 16, 2018) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 11: Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties under the Commodity Exchange Act and Commission Regulations, Jury Trial Demanded, CFTC v. McDonnell and Cabbagetech, Corp. d/b/a Coin Drop Markets, Case No. 18-CV-0361 (E.D.N.Y. Jan. 18, 2018) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 12: CFTC v. McDonnell and Cabbagetech, Corp. d/b/a Coin Drop Markets, Case No. 18-CV-0361 (E.D.N.Y. Mar. 6, 2018) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 13: Complaint for Injunctive and Other Equitable Relief, Restitution, and Civil Monetary Penalties under the Commodity Exchange Act, CFTC v. Dean and the Entrepreneurs Headquarters Limited, Case No. 18-cv-00345 (E.D.N.Y. Jan. 18, 2018) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 14: U.S. Commodity Futures Trading Commission, Office of Public Affairs, CFTC Backgrounder on Oversight of and Approach to Virtual Currency Futures Markets (January 4, 2018) Geoffrey F Aronow ~ Sidley Austin LLP
Chapter 15: Cybersecurity Requirements for Financial Services Companies, 23 NYCRR 500 (2017) Avi Gesser ~ Davis Polk & Wardwell LLP
Chapter 16: A Framework for a Vulnerability Disclosure Program for Online Systems, U.S. Department of Justice, Cybersecurity Unit (July 2017) Avi Gesser ~ Davis Polk & Wardwell LLP
Chapter 17: Davis Polk & Wardwell LLP, Cyber Breach Center, OCC Says Cyber Threats Continue to Elevate Banks’ Operational Risk (January 23, 2018) Avi Gesser ~ Davis Polk & Wardwell LLP
Chapter 18: Avi Gesser and Gabriel D. Rosenberg, Davis Polk & Wardwell LLP, Cyber Breach Center, Delegation, Not Abdication: The CFTC Fines AMP Global Clearing LLC for Failing to Supervise a Third-Party Service Provider (February 21, 2018) Avi Gesser ~ Davis Polk & Wardwell LLP
Chapter 19: U.S. Department of Justice, Office of Public Affairs, Press Release, Attorney General Sessions Announces New Cybersecurity Take Force (February 20, 2018) Avi Gesser ~ Davis Polk & Wardwell LLP
Chapter 20: U.S. Securities and Exchange Commission, Commission Statement and Guidance on Public Company Cybersecurity Disclosures, Release Nos. 33-10459; 34-82746, 17 CFR Parts 229 and 249 (February 21, 2018) Avi Gesser ~ Davis Polk & Wardwell LLP
Chapter 21: Randal K. Quarles, Vice Chairman for Supervision, Board of Governors of the Federal Reserve System, Brief Thoughts on the Financial Regulatory System and Cybersecurity, Remarks Before the Financial Services Roundtable, 2018 Spring Conference, Washington, D.C. (February 26, 2018) Avi Gesser ~ Davis Polk & Wardwell LLP
Chapter 22: Chairman Jay Clayton, Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers (June 1, 2017)
Chapter 23: U.S. Securities and Exchange Commission, Press Release, SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors (September 25, 2017)
Chapter 24: Stephanie Avakian, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, The SEC Enforcement Division’s Initiatives Regarding Retail Investor Protection and Cybersecurity (October 26, 2017)
Chapter 25: Legal and Policy Developments in Enforcement: Discussion Topics (Substantive Outline) (March 2018) Mark D Cahn ~ Wilmer Cutler Pickering Hale and Dorr LLP
Chapter 26: Selected Ethics Topics and Developments (March 12, 2018) Dixie L Johnson ~ King & Spalding
Chapter 27: King & Spalding, Client Alert, Special Matters & Government Investigations and Tax Practice Groups, Reflections on Kokesh v. SEC: On the Lookout for “Elephants in Mouseholes” (February 9, 2018) Dixie L Johnson ~ King & Spalding
Chapter 28: Dixie L. Johnson, Carmen Lawrence, Alec Koch, Peter Isajiw, Victoria Bohannan, Business Law Today, Don’t Blow It: Avoiding Pitfalls under the SEC’s Whistleblower Regime (November 1, 2017) Dixie L Johnson ~ King & Spalding
Index

This Course Handbook was compiled for the program, Enforcement 2018 Perspectives from Government Agencies.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Joan E McKown, Jones Day
Richard D Owens, Latham & Watkins LLP
Linda Chatman Thomsen, Davis Polk & Wardwell LLP
Related Items

Live Programs  Live Programs

Enforcement 2019: Perspectives from Government Agencies (New York, NY) May. 8, 2019

Handbook  Course Handbook Archive

Enforcement 2018: Perspectives from Government Agencies Joan E McKown, Jones Day
Linda Chatman Thomsen, Davis Polk & Wardwell LLP
Richard D Owens, Latham & Watkins LLP
 
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.