transcript   Transcript

Mismarkings or Over-Valuations: Reasonable Estimates and Estimable Reasons? Recent Developments and Strategies for Litigants Concerning Actions by Prosecutors and Regulators

Recorded on: Mar. 2, 2017
Running Time: 01:01:25

Full Transcript:



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Taken from the briefing Mismarkings or Over-Valuations: Reasonable Estimates and Estimable Reasons? Recent Developments and Strategies for Litigants Concerning Actions by Prosecutors and Regulators recorded March, 2017 in New York.

In 2016, the Department of Justice and the Securities and Exchange Commission continued their recent spate of enforcement activity against traders, hedge funds, financial institutions and other companies alleging the deliberate over-valuing or mismarking of assets, particularly those involving illiquid securities or positions.

Lecture Topics  [01:01:25]

In this briefing, Eugene Ingoglia, a former federal prosecutor responsible for the "London Whale" and other mismarking prosecutions, and now a litigation partner at Allen & Overy LLP, will:

  • Explore recent prosecutions and enforcement actions alleging mismarking, including the Visium and Platinum Partners prosecutions
  • Discuss some common elements in criminal prosecutions of mismarking cases, and differences between cases charged criminally and those brought only by civil authorities
  • Examine the role played by whistleblowers in some recent actions
  • Discuss allegations of mismarkings in private securities actions that do not involve the government
  • Discuss ways that companies, traders and compliance personnel can avoid finding themselves in the regulators' crosshairs
  • Provide practical guidance for practitioners in defending companies and individuals from such charges

Presentation Material

  • Mismarking Securities: A Recent History of Enforcement
    Eugene Ingoglia
Speaker(s)
Eugene Ingoglia ~ Allen & Overy LLP
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