transcript   Transcript

Policing the Markets: Updates on Securities Investigations and Enforcement

Recorded on: Oct. 9, 2018
Running Time: 01:16:44

Full Transcript:



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Taken from the Web Program White Collar Crime 2018: Prosecutors and Regulators Speak Recorded October 2018 in New York

Policing the Markets: Updates on Securities Investigations and Enforcement [01:16:44]
  • Recent developments and emerging trends in enforcement of insider trading, market manipulation, accounting/disclosure, and other traditional enforcement priorities
  • Spoofing and other violations associated with high-frequency trading
  • Cryptocurrency and cyber issues
  • Conflicts of interest, valuation, and self-dealing

Panel Leader: Helen V. Cantwell
Speakers: Robert A. Cohen, Jason Cowley, Katya Jestin, Alixandra Smith

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

  • Gayle E. Littleton, David Bitkower and Justin C. Steffen, FinTech Weekly, Navigating Cryptocurrency Regulation: Common Sense in an Uncommon Industry (January 15, 2018)
    Katya Jestin
  • Kelly Hagedorn, Tracey Lattimer, Emily A. Bruemmer and Jennifer J. Yun, Jenner & Block LLP, Investigations, Compliance and Defense, Deliberate Data Breaches: Consequences for Companies Just Got Even Tougher (February 5, 2018)
    Katya Jestin
  • Nicholas R. Barnaby, Katya Jestin, Anne Cortina Perry and Ravi Ramanathan, Jenner & Block LLP, Investigations, Compliance and Defense, DOJ Announces New Policy to Avoid “Piling On” of Duplicative Corporate Penalties (May 5, 2018)
    Katya Jestin
  • Salman v. United States, 137 S.Ct. 420 (U.S. 2016)
  • United States v. Martoma, 894 F.3d 64 (2d Cir. 2017)
  • U.S. Securities and Exchange Commission, Investor.gov, Investor Bulletin: Initial Coin Offerings (July 25, 2017)
  • SEC Chairman Jay Clayton, U.S. Securities and Exchange Commission, Statement on Cryptocurrencies and Initial Coin Offerings (December 11, 2017)
  • United States v. Litvak, 889 F.3d 56 (2d Cir. 2018)
  • 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)
  • U.S. Department of Justice, Criminal Division, John P. Cronan, Acting Assistant Attorney General, U.S. Department of Justice, Criminal Division, Announces Futures Markets Spoofing Takedown (January 29, 2018)
  • Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings and Imposing Remedial Sanctions, In re: Deutsche Bank AG and Deutsche Bank Securities Inc., CFTC Dkt. No. 18-06 (Jan. 29, 2018)
  • Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings and Imposing Remedial Sanctions, In re: UBS AG, CFTC Dkt. No. 18-07 (Jan. 29, 2018)
  • Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings, and Imposing Remedial Sanctions, In re: HSBC Securities (USA) Inc., CFTC Dkt. No. 18-08 (Jan. 29, 2018)
  • U.S. Commodity Futures Trading Commission, Press Release, CFTC Orders Deutsche Bank to Pay $30 Million Penalty for Manipulation, Attempted Manipulation, and Spoofing in the Precious Metals Futures Markets (January 29, 2018)
  • U.S. Commodity Futures Trading Commission, Press Release, CFTC Orders UBS to Pay $15 Million Penalty for Attempted Manipulation and Spoofing in the Precious Metals Futures Markets (January 29, 2018)
  • Chairman Jay Clayton, U.S. Securities and Exchange Commission, Chairman’s Testimony on Virtual Currencies: The Roles of the SEC and CFTC Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, Washington, D.C. (February 6, 2018)
  • U.S. Securities and Exchange Commission, Divisions of Enforcement and Trading and Markets, Public Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 7, 2018)
  • U.S. Commodity Futures Trading Commission, Press Release, CFTC Staff Issues Advisory for Virtual Currency Products (May 21, 2018)
  • U.S. Commodity Futures Trading Commission, CFTC Staff Advisory No. 18-14, Advisory with Respect to Virtual Currency Derivative Product Listings (May 21, 2018)
  • Memorandum & Order, CFTC v. McDonnell, No. 18-CV-0361 (E.D.N.Y. Mar. 6, 2018)
  • Complaint and Affidavit in Support of Application for Arrest Warrants, 18 U.S.C. § 1349, United States v. Johnson, No. CR 16-0457 (E.D.N.Y. July 19, 2016)
  • Indictment, United States v. Johnson, No. CR 16-0457 (E.D.N.Y. Aug. 16, 2016)
  • Judgment in a Criminal Case, United States v. Johnson, No. CR 16-0457 (E.D.N.Y. May 10, 2018)
  • Court of Appeals Order, United States v. Johnson, No. CR 16-0457 (2d Cir. June 20, 2018)
  • Affidavit in Support of A Criminal Complaint and Arrest Warrant for Andre Flotron, No. 3:17-cr-00220-JAM (D. Conn. Sept. 12, 2017)
  • Jury Trial Demanded, CFTC v. Flotron, No. 3:18-cr-00158 (D. Conn. Jan. 26, 2018)
  • Superseding Indictment, United States v. Flotron, No. 3:17-cr-00220-JAM (D. Conn. Sept. 12, 2017)
  • Judgment of Acquittal, United States v. Flotron, No. 3:17-cr-00220-JAM (D. Conn. Apr. 25, 2018)
Presentation Material
  • Policing the Markets
    Helen V. Cantwell
  • (s)
    Helen V. Cantwell ~ Debevoise & Plimpton LLP
    Robert A. Cohen ~ U.S. Securities and Exchange Commission
    Jason Cowley ~ Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
    Katya Jestin ~ Jenner & Block LLP
    Alixandra Smith ~ Deputy Chief, Business and Securities Fraud Section, U.S. Attorney's Office, EDNY
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