Attend this annual program to stay current with the issues and hot topics relating to securities enforcement. Two distinct panels will discuss SEC and DOJ developments, and how SEC administrative trials may alter the landscape.
Panel I SEC / DOJ Developments and Outlook
Moderator:
Diana Lloyd, Esq.
Choate, Hall & Stewart LLP
Carmen Ortiz, Esq.
U.S. Attorney for the District of Massachusetts
David Bergers, Esq.
District Administator, Securities & Exchange Commission, Boston Regional Office
John J. Falvey, Jr., Esq.
Goodwin Procter LLP
Paul G. Levenson, Esq.
Chief, Economic Crimes Unit, U.S. Attorney's Office, District of Massachusetts
R. Daniel O'Connor, Esq.
Ropes & Gray LLP
Panel II SEC Administrative Trials: The Rules of the Road and How They Played Out
Moderator:
Michele L. Adelman, Esq.
Foley Hoag LLP
Luke T. Cadigan, Esq.
K & L Gates
Ian D. Roffman, Esq.
Nutter McClennen & Fish LLP
Mark W. Pearlstein, Esq.
McDermott, Will & Emery
John F. Sylvia, Esq.
Mintz Levin Cohn Ferris Glovsky and Popea PC
Specific topics will include:
Priorities and new initiatives at the SEC -- cooperation incentives and specialized enforcement units
Impact of the Dodd-Frank whistleblower rules
Criminal securities law enforcement by the U.S. Attorney's Office
The SEC's renewed interest in executive compensation clawbacks under Sarbanes Oxley
The continued focus on insider trading
SEC policy on settlements without admissions
Baseline differences between SEC Administrative and Federal District Court Trials
Pros and cons of administrative proceedings from the SEC and defense perspectives
Issues in particular a dministrative trials and how the a dministrative procedure impacted these trials
The impact of the administrative procedure on the result
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.
