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Securities Litigation and Enforcement Channel

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  • Preparing for the New Revenue Recognition Rules & Other Corp. Accounting Updates
    Preparing for the New Revenue Recognition Rules & Other Corp. Accounting Updates Cathy Connolly, Jonathan Shapiro Recorded: Mar 15 2018 62 mins
    The first quarterly reporting deadline for public companies is quickly approaching, and that reporting for the first time will include significant disclosures related to the newly-implemented accounting standards. By January 2018, companies were expected to update revenue recognition rules for all revenue arising from contracts with customers, which requires not only a change to financial statements, but related disclosures, business processes and internal controls over financial reporting.

    In a panel discussion, Cathy Connolly of StoneTurn and Jonathan Shapiro of Baker Botts will focus on the changes brought about by the new rules, and address the questions they raise.

    Topics to be covered include:

    -- What types of issues may be brought to light? From what sources (internal, SEC, other)?
    -- How does a company and its counsel respond?
    -- What is the board’s response?
    -- How can the key problems be quickly identified, and an effective response, including a remediation plan, be implemented?
  • One Year Later: French Anti-Corruption Law (Sapin II) Update
    One Year Later: French Anti-Corruption Law (Sapin II) Update Xavier Oustalniol, Daniel Kadar, Dominique Laymand Recorded: Feb 27 2018 63 mins
    Sapin II, the new French anti-corruption law, has been in effect for nearly a year now. The new law required companies with operations in France to implement compliance programs, created a new French anti-bribery agency, and created a judicial agreement similar in structure to the U.S. deferred prosecution agreement (“DPA”).

    In a panel discussion, Xavier Oustalniol of StoneTurn, Daniel Kadar of Reed Smith and Dominique Laymand of Ipsen will provide an update on how these changes in French law are impacting companies and whistleblowers.

    Topics to be covered include:
    -- A Look at the Anti-Corruption Landscape
    -- How are Affected Companies Handling the New Compliance Rules?
    -- Quantifying the Anticipated Impact of the Law in Years to Come
  • A Review of SEC Enforcement in 2017 and What’s Ahead for 2018
    A Review of SEC Enforcement in 2017 and What’s Ahead for 2018 Bill McLucas, Doug Davison, Marty Wilczynski, Steve Richards Recorded: Jan 18 2018 63 mins
    In this annual webcast, our panel will analyze key SEC enforcement developments from 2017, and will discuss what to expect in 2018. Among other items, the panel will address:

    • new SEC leadership and its new priorities;
    • current legal and policy issues arising from cases involving the FCPA, financial fraud, insider trading, and investment management; and
    • developments in the Whistleblower Program, the new Cyber Unit and Retail Strategy Task Force, and other ongoing initiatives.

    Please join panelists Bill McLucas from Wilmer Cutler Pickering Hale and Dorr LLP; Doug Davison from Linklaters; and Marty Wilczynski and Steve Richards from Ankura Consulting as they address these and other developments in SEC enforcement.
  • Navigating Dodd-Frank’s Whistleblower Provisions and the FCPA (2017 Update)
    Navigating Dodd-Frank’s Whistleblower Provisions and the FCPA (2017 Update) F. Joseph Warin, John W.F. Chesley, Greta B. Williams, Sean X. McKessy, Jim Barratt Recorded: Dec 7 2017 97 mins
    In the midst of reported declines in securities enforcement, 2017 was yet another record year for reports to the SEC’s Office of the Whistleblower. In the six-year history of Dodd-Frank’s whistleblower provisions, the SEC has turned tens of thousands of tips into nearly a billion dollars in enforcement actions, returning over $160 million of the pockets of whistleblowers. In 2017, the SEC continued to financially reward those who come forward with information concerning potential securities violations as well as take aggressive enforcement actions against those alleged to have discouraged whistleblowing through retaliation or restrictive severance agreements. On top of all this, the federal courts continue to teem with civil anti-retaliation claims and the Supreme Court has agreed to decide the foundational question of whether Dodd-Frank’s anti-retaliation provisions apply to those who have not reported to the SEC.

    These trends, coupled with dynamic developments in FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.

    Securities Docket is pleased to present its sixth annual webcast on the intersection of Dodd-Frank’s whistleblower provisions and the FCPA. This free 90-minute webcast will include a dynamic and participatory discussion on the statutory and regulatory framework of Dodd-Frank’s whistleblower provisions, discuss their interpretation by the SEC Office of the Whistleblower and federal courts, analyze their intersection with the FCPA, and provide participants with practical tips for navigating the minefield of whistleblower complaints.
  • The Growing Impact of Corporate Investigations:Trends in SEC and DOJ Enforcement
    The Growing Impact of Corporate Investigations:Trends in SEC and DOJ Enforcement Rex Homme, Catherine Moreno Recorded: Nov 9 2017 69 mins
    Internal investigations have become a much higher-stakes issue for companies of all sizes. The SEC filed a record high number of enforcement actions in 2016. In recent years, the U.S. Department of Justice has expanded its interest in internal investigations from the “what” and “why” to also include an emphasis on “how” companies conduct them. Now, the two agencies are more actively coordinating on investigations involving accounting fraud and FCPA issues.

    In a panel discussion, Rex Homme of StoneTurn and Catherine Moreno of Wilson Sonsini will focus on the impact of heightened scrutiny on corporate compliance programs, best practices for responding to government inquiries and how to avoid enforcement actions.

    Topics to be covered include:

    -- Data Analytics and Fraud Detection
    -- Recognizing “New” Types of Fraud
    * Vendor, supplier and procurement fraud
    * CEO fraud and other cyber scams
    -- Developing a Response Plan
  • Maybe Unicorns Aren’t So Special: Regulatory Terrain Common to Public Companies
    Maybe Unicorns Aren’t So Special: Regulatory Terrain Common to Public Companies Lori Echavarria, Michael Mugmon, and Ed Westerman Recorded: Oct 4 2017 60 mins
    The rapid growth of so-called “unicorn” companies – privately held start-ups with valuations of more than $1 billion – presents a number of significant regulatory challenges and risks. Although many people believe that special rules and exemptions apply to unicorns, in fact, unicorns may not be so unique in the eyes of regulators. Much like public companies, it is more important than ever that they focus on developing appropriate legal and compliance procedures surrounding capital raising, public disclosures, options compensation, and related issues to avoid, or best respond to, scrutiny by regulators, including the U.S. Securities and Exchange Commission (SEC).

    Join a distinguished panel of industry professionals including WilmerHale partners Lori Echavarria (former SEC Associate Regional Director and head of Enforcement for the Los Angeles Regional Office) and Michael Mugmon, and Ed Westerman, Senior Managing Director and Co-Leader of Forensic Accounting & Advisory Services at FTI Consulting, to discuss important SEC trends and initiatives impacting unicorn companies. Topics to be covered include:

    · The Unicorn Landscape
    · Jurisdictional “Hooks”
    · The Vulnerability of Unicorn Companies
    · Transitioning from Private to Public: What Happens Next?
    · The Trump Administration and the Current SEC Environment
  • What Every C-Suite Executive Needs to Know Now About the Equifax Data Breach
    What Every C-Suite Executive Needs to Know Now About the Equifax Data Breach Presenter: John Reed Stark Recorded: Sep 26 2017 64 mins
    The recent Equifax data breach is perhaps the largest in history and has barraged the company and its senior executives with a complex and challenging range of legal, financial and technological issues -- issues that every corporation and its outside counsel will inevitably (and unfortunately) encounter.

    In this timely webcast, John Reed Stark, seasoned data response professional and former Chief of the SEC's Office of Internet Enforcement, drills down to explain it all.

    Don't miss this early opportunity for a detailed analysis, presented in plain English, of the many critical caveats, reminders and takeaways from this evolving and ironic cybersecurity incident.
  • Navigating Concurrent Matters in Multiple Jurisdictions
    Navigating Concurrent Matters in Multiple Jurisdictions Michele E. Rose, Robert P. Howard, Jr., Jim Barratt, Amy Gonce Recorded: Sep 19 2017 60 mins
    After a significant corporate crisis event, issuers are often forced to navigate concurrent matters in multiple jurisdictions. The matters at issue may involve internal investigations, SEC and DOJ investigations, exchange listing inquiries, private class actions and derivative actions. There are multiple constituents in each of these forums -- many of which have competing interests and agendas.

    Decisions made in one forum can, and often do, have significant impact on the other. Having a thorough understanding of these competing interests and procedures is imperative in successfully coordinating navigating this complicated playing field.

    Join an experienced panel of securities lawyers and forensic accountants who conduct investigations, interact with government regulatory entities, audit committees and independent auditors, and represent issuers in multiple jurisdictions, as they discuss the often overlooked implications of dealing with multiple investigations and actions.

    Panel: Michele E. Rose and Robert P. Howard, Jr., of Murphy & McGonigle PC; and Jim Barratt and Amy Gonce of Ankura Consulting, LLC
  • Building the 5th Pillar of an Effective Anti-Money Laundering Compliance Program
    Building the 5th Pillar of an Effective Anti-Money Laundering Compliance Program Alma Angotti, Daniel L. Stipano, John Davidson, Valerie-Leila Jaber, Myrna Olvera Recorded: Aug 10 2017 63 mins
    In May, 2016 the Financial Crimes Enforcement Network (FinCEN) issued final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: Banks; brokers or dealers in securities; mutual funds; and futures commission merchants and introducing brokers in commodities. The rules contain explicit customer due diligence requirements and include a new requirement to identify and verify the identity of beneficial owners of legal entity customers.

    Join a distinguished panel of industry professionals to discuss what the rule requires and what it means to your firm. More importantly, the event will include a practical discussion of what firms should be considering and doing in advance of the rule’s May 2018 final applicability date. Topics to be covered include:

    · How do financial institutions (“FIs”) intend to identify and verify Beneficial Owners (“BOs”) and Control Persons (“CPs”)?
    · What is a “customer profile” and what do you do with it?
    · How will the rule affect transaction monitoring, suspicious activity investigations and reporting from both a technology and compliance program standpoint?
    · What risk-based trigger events are FIs considering when updating beneficial ownership information?
  • UK Bribery Act Update: Enforcement, the Future of the SFO and Much More
    UK Bribery Act Update: Enforcement, the Future of the SFO and Much More Vivian Robinson QC, Barry Vitou, Richard Kovalevsky QC, Julian Glass Recorded: Jul 5 2017 63 mins
    As the Bribery Act starts to bite, the UK Government looks to abolish the SFO!

    On the 6th anniversary of the Bribery Act entering into force we have now seen further significant enforcement activity in the UK.

    In this webcast, our panel of expert UK attorneys and consultants look back over the last 12 months and forecast where we see developments in the year to come. The panel will discuss issues including:

    -- Key developments over the last twelve months, including the Rolls Royce DPA and corporate prosecution under the Bribery Act.
    -- What’s next:
    * DPA’s v. Prosecution. Latest developments?
    * Privilege and bribery investigations, what are the issues coming out of ENRC?
    * What is the future of the SFO?

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