Securities Litigation and Enforcement Channel

Channel profile:

Timely webcasts and updates for lawyers and other professionals

Timely webcasts, analysis, updates and presentations about securities litigation, SEC enforcement and white collar issues. This channel allows listeners to learn about cutting-edge issues from the leading attorneys, consultants, and other professionals in the securities litigation industry.

Subscribers (9,961)
Cybersecurity and Financial Firms -- Bracing for the Regulatory Onslaught Given the recent SEC Risk Alert regarding cybersecurity and the recent FINRA Sweep announcement, the time is now for financial firms to refresh and improve their cybersecurity efforts. Today, when financial firms experience any form of data breach, financial regulators are going to come knocking (or even pounding) on the door.

Recent reports indicate that regulatory examiners have expanded their focus beyond merely what financial firms have in place to protect the data of their customers. In 2014 and beyond, regulators will also want to know much more about firms' security measures--including the policies and procedures firms have to detect the origin, nature and extent of the cyber-related incident; regulatory notifications of any cybersecurity breach; and remediation efforts after any cybersecurity-related incident.

A regulatory cyber-storm is clearly brewing and its onslaught will have a dramatic impact upon how financial firms build, manage and protect their information and trading systems, To help practitioners, in-house counsel, compliance officers, technology personnel, exchanges and the many other professionals impacted by this recent financial regulatory surge, we are providing two webcasts from two teams of experts.

In this, the first of these two webcasts, we will discuss:

* The current regulatory landscape of, and recent regulatory interest in, the cybersecurity policies and practices at financial firms;
* SEC enforcement actions pertaining to cybersecurity;
* The type of cybersecurity information FINRA and OCIE examiners may expect to receive during their examinations; and
* Recommended technology-related steps for broker-dealers, registered investment advisers, hedge funds, private equity firms, exchanges and other financial firms to take in response to increased regulatory focus and new regulatory initiatives, including how financial firms can launch a "pre-emptive holistic strike" to counter the anticipated regulatory offensive.
Read more >
May 1 2014 5:00 pm
75 mins

Webinars and videos

  • Live and recorded (115)
  • Upcoming (1)
  • Date
  • Rating
  • Views
  • This webcast features a panel discussion of recent UK legal developments in the field of corporate crime - in particular a focus on Deferred Prosecution Agreements, the related Prosecutors’ Code of Practice, the recent Sentencing Council guidelines for corporate offenders and confiscation in corporate crime cases.

    Our panel of speakers will offer their insights into these legal and financial issues: Satnam Tumani, Partner, Kirkland & Ellis, London; Jeffrey Bryant, Crown Advocate Proceeds of Crime Division, Crown Prosecution Service and Julian Glass, Managing Director, FTI Consulting, London.
  • This webcast will highlight important recent developments in the government’s ongoing crackdown on insider trading, including lessons learned from recent high-profile criminal trials and debated legal issues. The panel will address:

    • The recent separate trials of former SAC Capital portfolio managers Mathew Martoma and Michael Steinberg in the Southern District of New York.
    • The effect prosecutions involving information from expert networks may have on the “mosaic theory.” Mosaic theory is the concept under which the SEC theoretically permits investors to piece together immaterial nonpublic information to form an investment thesis.
    • The sentences—usually no jail time—handed down to defendants who plead guilty and cooperate with the government’s investigation, versus the relatively long sentences of defendants who are convicted at trial.

    The speakers will include Lawrence Gerschwer, Partner, Morrison & Foerster LLP, and Allen D. Applbaum, Senior Managing Director and Global Leader of FTI Consulting’s Global Risk & Investigations Practice. Mssrs. Gerschwer and Applbaum are both former Assistant US Attorneys for the Southern District of New York.
  • This webcast will consist of an analysis of the issues commonly confronted in fraudulent transfer litigation under the U.S. Bankruptcy Code and state law. The first portion of the program will provide attendees with an overview of the relevant legal aspects of the fraudulent transfer litigation, including discussion of:

    • Relevant provisions of the U.S. Bankruptcy Code, including §548;
    • Bankruptcy Code § 544 and the Uniform Fraudulent Transfer Act;
    • Proving constructive fraud v. actual fraud; and
    • Recent developments in case law.

    The second half of the program will focus on valuation analyses often performed in conjunction with constructive fraud claims under §548 and state law, including:

    • Performing the balance-sheet test;
    • Assessing the adequacy of capital; and,
    • Analyzing the debtor’s ability to pay debts as they become due.

    A case study will be used during the program to highlight the legal and valuation issues.

    The program will be presented by litigation and bankruptcy attorneys Craig Simon and Dan Winikka from the law firm of Simon, Ray & Winikka LLP and valuation experts Jeff Litvak and Jack Schwager of FTI Consulting.
  • It has been another year of plenty for enforcement of the U.S. Foreign Corrupt Practices Act (“FCPA”) and international anti-corruption statutes worldwide. From a return to the robust enforcement totals of recent years, to a nearly fourfold increase in the size of the average corporate fine, to increasingly aggressive deployment of traditional criminal investigative techniques, to the expansion of multi-jurisdictional, cross-border cooperation and prosecutions, 2013 marked another year of vigorous international anti-corruption enforcement.

    Featuring an experienced panel of anti-corruption and compliance practitioners, this webcast will provide an overview of the FCPA and a survey of anti-corruption enforcement, litigation, and policy developments from the past year, including those in the international arena, as well as provide the participant with practical tips for avoiding or minimizing liability under the FCPA and its foreign counterparts.
  • This webcast provides guidance for CFOs who face heightened scrutiny and liability as a result of the culmination of legislated rules and regulations, including Sarbanes-Oxley and Dodd-Frank. Newly enacted provisions provide for significant enhancement of SEC enforcement powers, coupled with heightened standards of liability for financial executives.

    In addition, the webcast highlights cases in which CFOs and other financial executives have been sanctioned for violations committed by their subordinates under a "should have known" standard. Finally, this webinar offers practical recommendations to assist CFOs in compliance with the increasingly complex regulations and requirements to which they are subjected.

    The speakers will include John J. Carney, co-leader of Baker Hostetler LLP's White-Collar and Corporate Investigations Group, Mark Gerber, PwC Partner, and Craig Carpenito, head of Alston & Bird's White-Collar Group. The intended audience is current CFOs, legal counsel for CFOs, and accountants working with CFOs.
  • In this webcast analyzing key developments in SEC enforcement, our panel will discuss notable events from 2013 and emerging issues for 2014. Among other items, the panel will address:

    •The SEC’s shift towards requiring admissions, rather than no-admit-no-deny settlements;
    •The increased use of analytic technology to identify fraud;
    •The renewed focus on enforcement against “gatekeepers;”
    •Results of litigating with the SEC; and much more.

    Please join panelists Bill McLucas and Doug Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP; and Marty Wilczynski and Jason Flemmons, Senior Managing Directors with FTI Consulting Forensic and Litigation Consulting, as they address these and other developments in SEC enforcement.
  • It has now been a year since the DOJ and SEC released their long-awaited guidance on the FCPA, “A Resource Guide to the U.S. Foreign Corrupt Practices Act.” The guidance provided user-friendly insight into how the government approaches FCPA enforcement, and set forth a number of factors companies should consider in evaluating their anti-corruption compliance programs and procedures.

    The FCPA guidance addressed a number of critical compliance concerns, including among others the use of third-party intermediaries, and the current state of parent/subsidiary and successor liability. It also created a one-stop resource for compliance personnel and affected business managers. The webcast will offer a practical and informed review of how the guidance has impacted FCPA practice generally, and more specifically how the guidance has affected compliance operations and the interaction of compliance professionals with both their business units and external counsel.
  • We are in a brave new world of whistleblower regulation and litigation. Now three years after the passage of Dodd-Frank, the SEC Office of the Whistleblower is making an increasing number of bounty awards – including a recent record-breaking $14 million award – and federal courts across the country are defining and redefining the statute’s complex contours. Companies, meanwhile, continue to field the flood of hotline complaints in an effort to sift the chaff from tomorrow morning’s front-page expose. These trends, coupled with the continuing robust pace of FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.

    Featuring an experienced panel of anti-corruption and compliance practitioners, this webcast will detail Dodd-Frank’s statutory and regulatory framework, discuss its early interpretations by the SEC Office of the Whistleblower and federal courts, and provide the participant with practical tips for navigating the minefield of whistleblower complaints.

    Please join F. Joseph Warin, partner, Gibson, Dunn & Crutcher; John Chesley, associate, Gibson, Dunn & Crutcher; and Jay Perlman, Director, Navigant as they address these issues and your questions in a free, one-hour webcast.
  • This webcast will cover fundamental concepts of accounting, focusing on issues that lawyers often encounter. Our panel of accounting experts will cover the three financial statements–balance sheet, income statement, and cash flows–and describe the components that are used to create them. In addition, our panel will cover how to derive meaningful conclusions from the data through ratio and trend analysis.

    In addition to understanding financial statements, this webcast will cover common Generally Accepted Accounting Principles and International Financial Reporting Standards.

    The panelists for this webcast are Jeff Litvak, CPA/ABV/CFF, ASA and Jack Schwager, CPA/ABV/CFF, CFE, both of FTI Forensic & Litigation Consulting.
  • This economic damages program will focus on a number of critical aspects to consider when calculating damages in a commercial litigation case. The first part of the program will deal with the following issues related to damage assessments:

    •Measurement of damages
    •Overview of damages
    •“But for” concept
    •Legal and other economic criteria to consider when proving damages
    •Discussion of the lost profit model
    •Discussion of the destruction of a business model

    The latter half of the program will deal with an actual case of proving damages for a new business. The case focuses on an e-retailing business who in the past lost in excess of $25 million in venture capital money and never sustained a profit. The new business had six months of positive contribution margins. The case discusses the challenges of proving damages for the new business and the defense’s position that the damages were speculative and flawed.

    The program will also include a review of the most recent case law on proving damages for a new business and the reasonable certainty standard in California.

Embed in website or blog