1-Day Program

See Credit Details Below


The Trump administration will continue to bring unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program now in its tenth year brings together panels of senior staff from the various enforcement and regulatory agencies. Over the years these agencies have included the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of the Treasury, U.S. Department of Justice, 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 agency priorities, how the agencies are working together, and offer best practices for working with the government in today’s continually changing enforcement environment. 


What You Will Learn

• Enforcement priorities of Federal and State regulators and law enforcers
• New developments in swaps and derivatives law and regulation
• How to work with law enforcement during a cybersecurity event
• The latest policy developments


Special Features

• 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.

Advanced Preparation: None

Credit Details

Schedule & Location