transcript   Transcript

Liability for Securities Law Violations

Recorded on: Jul. 18, 2017
Running Time: 01:01:14

Full Transcript:

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Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York.

Liability for Securities Law Violations [01:01:14]
  • Securities Act
    – Sections 11, 12, 15 and 17
    – Indemnification and contribution
  • Exchange Act
    – Section 10 and Rule 10b-5
    – Insider trading and selective disclosure after Salman v. U.S.
  • “Controlling person” liability
  • Minimizing liability risk using 10b5-1 plans

Speakers: Douglas I. Koff, Joseph Salama, Aaron Schlaphoff

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Liability for Securities Law Violations (Substantive Outline)
    Douglas I. Koff, Kelly Koscuiszka, Jacqueline Srour
  • Schulte Roth & Zabel LLP, Alert, Salman Spawns No Sweeping Change in Insider Trading Law (December 12, 2016)
    Douglas I. Koff
  • Joseph P. Vitale, NYDFS’ Revision of Proposed Cybersecurity Regulation for Financial Services Companies, Harvard Law School Forum on Corporate Governance and Financial Regulation (January 10, 2017)
    Douglas I. Koff
  • Michael L. Yaeger, et al., Cyber-SARS Anti-Money Laundering and Cybersecurity Rules, The Hedge Fund Journal (January 2017)
    Douglas I. Koff
  • Betty Santangelo and Melissa G.R. Goldstein, FinCEN’s Customer Due Diligence Final Rule, The Hedge Fund Journal (June 2016)
    Douglas I. Koff
  • Donald J. Mosher, et al., NYDFS Issues AML/Sanctions Programs and Annual Certification Requirements for Banks, Money Transmitters and Check Cashers, Westlaw Journal, Bank & Lender Liability, Volume 22, Issue 9 (September 19, 2016)
    Douglas I. Koff
  • Alston & Bird LLP, Private Securities Litigation Reform Act—Major Developments and Issues
    Lisa R. Bugni

Presentation Material

  • Liability for Securities Law Violations
    Douglas I. Koff, Joseph Salama, Aaron Schlaphoff
Douglas I Koff ~ Schulte Roth & Zabel LLP
Joseph Salama ~ Global Head of Litigation and Regulatory Enforcement, Deutsche Bank AG
Aaron Schlaphoff ~ Kirkland & Ellis LLP
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