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The Biden administration is bringing new leadership to nearly all of the federal authorities that regulate the business community, including both civil enforcement agencies and federal prosecutors. This unique program brings together panels of senior staff from the various federal and state enforcement and regulatory agencies. Over the years these agencies have included the Department of Justice, U.S. Securities and Exchange Commission, U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, leading U.S. Attorney’s Offices, U.S. Department of the Treasury, U.S. Department of State, Public Company Accounting Oversight Board, and Consumer Financial Protection Bureau. Moderated by law firm enforcement practitioners, the panels will discuss new agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment.
- Perspectives from various government enforcement agencies on each panel
- Earn one hour of Ethics credit
CPE Program Level: Overview
Prerequisites: A general understanding of financial regulatory requirements, regulatory and enforcement activities, and economic, business and regulatory regimes in general.
Intended Audience: Practitioners who represent 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.