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Securities Litigation and Enforcement Channel

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  • 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?
  • How to Prove/Defend Fraudulent Transfer Claims–A Legal and Valuation Perspective
    How to Prove/Defend Fraudulent Transfer Claims–A Legal and Valuation Perspective Dion Hayes, Jeff Litvak, Scott Friedland, Clara Chin Recorded: Mar 16 2017 93 mins
    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 versus 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.

    Numerous case studies will be used during the program to highlight the legal and valuation issues.

    The program and a Q&A session will be presented by litigation and bankruptcy attorney Dion Hayes from the law firm of McGuireWoods LLP and valuation experts Jeff Litvak, Scott Friedland and Clara Chin of FTI Consulting.
  • What Legal and Compliance Professionals Should Know About Data Breach Response
    What Legal and Compliance Professionals Should Know About Data Breach Response John Reed Stark, Jason Smolanoff Recorded: Mar 15 2017 65 mins
    For legal and compliance professionals, data breach response is where FCPA and AML were fifteen years ago – quietly and quickly emerging as the fastest and most lucrative legal and compliance practice area. Every white collar defense and commercial litigator, and attorneys and other professionals in related areas, should be preparing to enter this exploding marketplace.

    Just like any other independent investigation, data breach response requires careful legal navigation. In addition to the governmental investigations and litigation, the list of civil liabilities after a cyber-attack is almost endless, including shareholder lawsuits for cyber security failures; declines in a company’s stock price; and management negligence. There may also be consumer/customer driven class action lawsuits against companies falling victim to cyber-attacks, alleging a failure to adhere to cyber security “best practices.”

    Legal and compliance professionals who understand data breach response can also provide critical strategic benefits for their clients, such as: 1) serving as an objective sounding board to IT staff tasked with designing, implementing, and reviewing data security practices and remediation; 2) reviewing privacy policies; testing representations made to consumers, and evaluating how outsiders might exploit those representations in court; and 3) assisting in litigation-testing the "reasonableness" of cybersecurity practices.

    In order to meet this growing client need, legal and compliance professionals must first understand the intricacies of a data breach response. This webcast fills that critical gap — reviewing data breach response workflow in plain English, designed exclusively for legal and compliance professionals who want to take the lead of, or assist with, data breach response engagements and investigations.
  • Top SEC Concerns in Public Company Financial Reporting to Watch in 2017
    Top SEC Concerns in Public Company Financial Reporting to Watch in 2017 Nicolas Morgan, Jean Chow-Callam Recorded: Feb 28 2017 58 mins
    With the change in administration and the replacement of SEC Chair White, the state of SEC enforcement is in flux, and public companies are pressed to reevaluate how they deal with regulators and manage internal processes. This webcast will provide an in-depth examination of the projected 2017 areas of SEC focus, as well as an overview of how in-house counsel and finance teams can avoid missteps in this evolving financial reporting landscape.

    This program and Q&A session will be presented by SEC investigations and white collar defense attorney Nicolas Morgan from the law firm of Paul Hastings LLP, and forensic accounting, regulation and compliance expert Jean Chow-Callam of FTI Consulting. The presenters also will discuss steps for dealing with regulators and managing internal processes to simultaneously avoid and prepare for investigations, and other highlights from their article “Top SEC Concerns in Public Company Financial Reporting to Watch in 2017” published in Bloomberg BNA Insights in February 2017.
  • Navigating Dodd-Frank’s Whistleblower Provisions and the FCPA (2016 Update)
    Navigating Dodd-Frank’s Whistleblower Provisions and the FCPA (2016 Update) Patrick F. Stokes, Sean X. McKessy, F. Joseph Warin, John W.F. Chesley, Erika A. Kelton, Jim Barratt Recorded: Jan 18 2017 97 mins
    The word is out—the SEC has made good on its promise to pay millions of dollars in awards to those who come forward with evidence of securities law violations and employees are taking notice. For the fifth consecutive year, 2016 saw the number of tips flowing into the SEC Office of the Whistleblower reach a record high, including a new high for complaints of FCPA violations. In 2016, the SEC awarded to whistleblowers over $57 million—higher than the combined award amount from all previous years.

    Meanwhile, the SEC’s Division of Enforcement brought multiple enforcement actions to discourage what it views as overly restrictive employee severance and confidentiality agreements as well as an unprecedented stand-alone enforcement action against an employer for allegedly retaliating against a whistleblower employee. In addition, federal courts across the nation continue to reach disparate conclusions concerning the scope of Dodd-Frank’s whistleblower retaliation provisions. These trends, coupled with dynamic developments in FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.

    The panel discussing these developments will include Patrick F. Stokes of Gibson, Dunn & Crutcher and Sean X. McKessy of Phillips & Cohen, respectively the former chiefs of DOJ’s FCPA Unit and the SEC’s Office of the Whistleblower. Joined by co-panelists F. Joseph Warin and John W.F. Chesley of Gibson Dunn, Erika A. Kelton of Phillips & Cohen, and Jim Barratt of FTI Consulting, this free 90-minute webcast will include a dynamic and participatory discussion on Dodd-Frank’s statutory and regulatory framework, discuss its early and recent interpretations by the SEC Office of the Whistleblower and federal courts, analyze the statute’s intersection with the FCPA, and provide participants with practical tips for navigating the minefield of whistleblower complaints.
  • SEC Enforcement– Today and Tomorrow– Developments in 2016, Expectations for 2017
    SEC Enforcement– Today and Tomorrow– Developments in 2016, Expectations for 2017 Bill McLucas, Doug Davison, Marty Wilczynski, Steve Richards Recorded: Jan 17 2017 61 mins
    In this annual webcast, our panel will analyze key developments in SEC enforcement and notable events from 2016, and will discuss what to look for in 2017. Among other items, the panel will address:
    •The change in leadership at the SEC and what to expect;
    •Results of litigation and current issues arising from SEC actions;
    •Themes from cases involving the FCPA, financial fraud, gatekeepers, market structure, insider trading, and investment management;
    •Updates on the Whistleblower Program, use of technology, and other ongoing initiatives;

    Please join panelists Bill McLucas and Doug Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP; and Marty Wilczynski and Steve Richards, Senior Managing Directors with Ankura Consulting as they address these and other developments in SEC enforcement.

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