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Securities Litigation and Enforcement Channel

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  • Securities Regulation of Digital Assets
    Securities Regulation of Digital Assets Alma Angotti, Gino Soave, Martine Beamon and Jai Massari Recorded: Apr 26 2018 57 mins
    As a follow-up to our April 4th, 2018 webinar ("Anti-Money Laundering Regulation of Digital Assets"), Alma Angotti, Managing Director and Global Investigations & Compliance Practice Co-Leader and Gino Soave, Director at Navigant; and Martine Beamon and Jai Massari, Partners at Davis Polk & Wardwell LLP will examine the impact of the federal securities laws on digital assets.

    Topics to be covered include:

    -- The SEC’s jurisdiction over digital assets and activities involving digital assets
    -- The recent focus on the role of intermediaries and gatekeepers in digital asset markets
    -- The state of play of enforcement involving digital assets and how the SEC’s approach can guide development of an effective compliance program
  • The First 48 Hours: Incident Response Strategies Following a Cyber Incident
    The First 48 Hours: Incident Response Strategies Following a Cyber Incident Luke Tenery, Ted Theisen, Christopher Todd Doss, Daron M. Hartvigsen Recorded: Apr 24 2018 53 mins
    This webcast analyzes the first 48 hours following a cybersecurity incident, and lays out incident response strategies that facilitate critical decision making and enable victim companies to rapidly recover.

    Having evolved significantly over the past several years, cyber incident response has moved beyond just quantifying the data exposure and hunting for end-point threats. New techniques such as user behaviour analytics and cloud identity management are two examples of game changers in modern incident response. Traditional hard drive forensics were historically the primary source of evidence during a cyber investigation and are now just one component of the effort where broader crisis management, threat pursuit, and information assurances take on prominent roles in the response.

    Join Ankura’s senior cybersecurity experts as they share their respective decades of experience in leading organizations through some of the most complex incident response engagements. Learn valuable insights into new approaches in IR that are imperative in today’s initial response in the First 48 hours of a significant cybersecurity incident.

    What you’ll learn:

    --What are the primary risks and efforts that the most elite incident responders are concerned about in the First 48 hours of a significant security incident?
    --What are the key questions inside and outside counsel are asking cybersecurity experts in the First 48 hours of a significant security incident?
    --What are some of the new and emergent approaches to cyber IR to better providing better assurances to the victim organization?
    --Where are some organizations missing opportunities for greater assurances during the response in the First 48?
  • The Fate of ALJs and Other Critical Issues Presented in Lucia v. SEC
    The Fate of ALJs and Other Critical Issues Presented in Lucia v. SEC Britt Whitesell Biles, Meryl D. Grenadier Recorded: Apr 10 2018 68 mins
    This seminar will analyze Lucia v. Securities and Exchange Commission, in which the Supreme Court will address the constitutionality of the Securities and Exchange Commission’s (“SEC”) Administrative Law Judges. Oral argument in this case is set for April 23, 2018. Among other items, this session will cover:

    · An overview of the SEC administrative process, including the genesis of the constitutional challenges to the forum and the changes that the SEC made to its Rules of Practice in response to those constitutional challenges;
    · A review of the key Appointments Clause jurisprudence leading up to Lucia;
    · An analysis of the potential outcomes of Lucia; and
    · A practical discussion of the potential impact of Lucia on SEC administrative proceedings, whether pending or already adjudicated.

    Please join Britt Whitesell Biles and Meryl D. Grenadier from Stein Mitchell Cipollone Beato & Missner LLP as they discuss this important Supreme Court case and its potential impact on SEC administrative proceedings. Ms. Biles recently joined Stein Mitchell from the SEC, where she served as Assistant Chief Litigation Counsel in the Division of Enforcement. At the SEC, Ms. Biles investigated and litigated securities enforcement actions, including administrative proceedings. In 2017, Ms. Biles received the SEC Chairman’s Award for Excellence for leading the litigation in the SEC’s groundbreaking law firm hacking case in which Chinese nationals were charged with securities fraud for trading on the basis of material nonpublic information that was stolen from law firms when their networks were hacked.
  • Anti-Money Laundering Regulation of Digital Assets
    Anti-Money Laundering Regulation of Digital Assets Alma Angotti, Gino Soave, Claiborne (Clay) Porter, Jason Somensatto Recorded: Apr 4 2018 68 mins
    Within recent months, U.S. and international regulators have been moving swiftly to regulate cryptocurrency in various ways. On February 13, 2018, the U.S. Department of Treasury Financial Crimes Enforcement Network (FinCEN), in a letter to Senator Ron Wyden, Ranking Member on the Senate Finance Committee, reiterated its position that cryptocurrency exchanges are required to register as Money Service Businesses (MSB). The requirement to register as an MSB triggers the obligation to develop, document an anti-money laundering (AML) and sanctions compliance program.

    In a panel discussion, Alma Angotti, Managing Director and Global Investigations & Compliance Practice Co-Leader at Navigant; Gino Soave, a Director in Navigant’s Global Investigations & Compliance Practice; Claiborne (Clay) Porter, Managing Director and Head of Investigations at Navigant; and Jason Somensatto, Of Counsel at Orrick discuss the practical effects of FinCEN’s position and how companies in this industry can ensure that they don’t run afoul of AML and sanctions regulation and enforcement.

    Topics to be covered include:

    -- Determining whether your organization should be registered as an MSB
    -- Developing, implementing and maintaining an effective AML and sanctions compliance program
    -- How to address AML and sanctions compliance in an ever changing regulatory environment
  • 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

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