Name: 2010 Year in Review: Securities Enforcement, Litig. & Compliance
Start: 2010-12-29T18:00:00Z
End: 2010-12-29T19:18:08.000Z
Location: BrightTALK

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.

Please join us for a discussion on the latest considerations for Incident Response covering Artificial Intelligence issues. How would your organization respond to an AI incident if it became aware of impacts such as bias claims, harmful or erroneous performance, or an AI model and its production data being hacked or tampered with?   

Our panel of data strategy and cyber technology leaders will speak pragmatically about current events in AI legal, compliance, and risk.  We’ll also dissect public case studies, pitfalls, and steps organizations should be taking to prepare for AI issues.

AI Readiness – Practical Steps to Prepare for Artificial Intelligence Incidents

During this webinar we will:

--Explore the reasons why PE funds (and their limited partners) have increasingly embraced ESG programs and reporting processes themselves as well as in their portfolio companies;
--Offer practical tips and guidance when implementing an ESG program and the related reporting processes;
--Discuss how to identify and adopt decision-useful performance metrics and conduct materiality assessments; and  
--Consider key legal and strategic questions during the M&A process, including conducting ESG-related due diligence and negotiating deal terms.

Please join panelists Rodolfo Araujo and Christopher DeSa of FTI Consulting, Jessica Monson of Caribou Coffee, and Danielle Reyes of Goodwin Procter, as they address these issues and your questions in this free webcast.

“Sustainable” Private Equity: An In-Depth Look at ESG Trends and Challenges

StoneTurn Partner Luke Tenery and Skadden Partner Bill Ridgway will discuss the five key cyber (security) issues impacting the 2022 corporate legal landscape, including:

--Expanded enforcement and/or regulator guidance from multiple agencies keeps security and compliance teams on their toes: The FTC, SEC, DoL, and NY State all had new guidance and some of these could probably be bifurcated to identify common themes, including security testing obligations, heightened security standards, board oversight, prompt and detailed reporting of incidents, and scrutiny of ransomware payments and public statements about incidents.  We will discuss updates and common themes to regulator guidance to considerations , the recent expansion of reporting obligations (SEC financial reporting, etc.) if an incident has occurred.
--Regulator investigations:  We will discuss activities in anticipation of regulator inquiries, audits, or subpoenas, and tactics for handling such inquiries.
--Remediation in the Spotlight: Increasingly stakeholders and regulators keep watch to the key steps performed by organizations that were compromised.  We will discuss what constitutes meaningful remediation, and making sure lessons learned are implemented.
--Ransomware still a driving factor:  A discussion around the pitfalls, TA end goals, impact, and outcomes
--Targeted Intelligence is a growing trend to navigate the complexities and uncertainties in corporate investigations and response:  What are the real time visibility and client issues (knowing the TA IOCs is no longer sufficient, social media for insider issues, etc.)

5 Key Cyber[security] Issues Impacting the 2022 Corporate Legal Landscape

Is cryptocurrency the wave of the future, critical for global economic and financial evolution? Or is it a Ponzi scheme of epic proportions?

We have gathered a uniquely experienced and engaging group of experts to answer this critical question, and to offer a range of perspectives and insights on cryptocurrency and other digital assets. 

Our panel features famed technologist Kelsey Hightower; Duke Law fintech professor Lee Reiners; Global BlockChain Business Council CEO Sandra Ro; and celebrated entrepreneur and digital financier Anthony Scaramucci, in a discussion moderated by the former Chief of the SEC’s Office of Internet Enforcement, John Reed Stark. 

Please join us for this no-holds-barred, extraordinary (and respectful) discussion that will take on one of today's most important financial issues.

Crypto: The Wave of the Future or a Giant Ponzi Scheme?

With an expansive digital ecosystem that includes a hybrid or remote workforce and a vast network of third-party suppliers, cyber incidents can occur in a myriad of ways. This session will highlight the latest cybersecurity risks and threats organizations are facing, the motivations behind cyber attacks, and how organizations can mitigate cyber risk and prepare for incidents. Topics will include financially-motivated cyber crime, nation-state threats, incident response investigations, and cyber risk mitigation techniques. Our speakers will share their experience from a legal, law enforcement, and advisory perspective, touching on both the technical and strategic elements of cybersecurity and risk management. Learn more about:
 
--The risk factors that can impact exposure to a cyber incident;
--Common cyber attack methods and how they unfold;
--The cyber threat actors behind major attacks;
--How to conduct an incident response investigation; and
--Cybersecurity controls to improve security and mitigate risk.

Please join panelists Yulia Maksimenko and Nathan Mousselli of FTI Consulting and Elizabeth Shirley of Burr & Forman as they address these issues and your questions in this free webcast.

The Dark Side of Digital: Preparing for the Latest Cybersecurity Threats

In this annual webcast, our panel will discuss the key developments in SEC enforcement matters from 2021, and what lies ahead. Among other items, the panel will address:
 
• enforcement results under Chairman Gary Gensler and his staff, and what areas are in focus going forward;
• new legal and policy issues arising from enforcement cases; and
• developments involving ESG; digital assets; insider trading; FCPA; financial reporting; remedies and sanctions; and the Whistleblower Program.
 
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 key developments in SEC enforcement.

SEC Enforcement: A Look Back at 2021, and What to Expect in 2022

When a cloud security incident affects victim organizations, they often do not know the key questions to ask or the optimal steps to take in order to investigate or begin to remediate.  With the intricacies of cloud environments, their ephemerality, logging retention, and a host of other issues, it can be difficult to know what their first moves should be.  

In this session we will discuss what an organization can do ahead of time to prepare for a cloud security incident, during the incident itself, and afterwards to better prepare for the next one.  

Please join Ross Worden and Sam Rubin of Unit 42 as they address these issues and your questions in this free webcast.

The Forecast is Cloudy with a Chance of Breaches

SEC’s Dodd-Frank Whistleblower Program continued to break records in FY 2021. The Office of the Whistleblower (“OWB”) received over 12,200 whistleblower tips, by far the largest number of tips received since the beginning of the Program, from 99 foreign countries and every state in the Union.  Additionally, the OWB handed out the largest whistleblower awards to date and processed the highest number of claims in FY 2021 since the Program began eleven years ago.  The OWB also saw a change in leadership in FY 2021, with the longtime Chief Jane Norberg departing and with the new Acting Chief in office.  Together, these trends and changes create the perfect storm for keeping in-house counsel and compliance professionals up at night.
 
Securities Docket is pleased to present its eleventh annual webcast on Dodd-Frank’s whistleblower provisions. This year’s panelists once again include leading practitioners in all aspects of Dodd-Frank whistleblower litigation and investigations, including F. Joseph Warin, John W.F. Chesley, Greta Williams, and Nicole Lee of Gibson Dunn, former SEC Office of the Whistleblower Chief Sean X. McKessy of Phillips & Cohen, and Jim Barratt of AlixPartners.
 
This free, 90-minute webcast will include a dynamic and participatory discussion on the statutory and regulatory framework of Dodd-Frank’s whistleblower provisions, their interpretation by the SEC Office of the Whistleblower and federal courts, and provide participants with practical tips for navigating the minefield of whistleblower complaints.

Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2021 Update)

This webinar, the second in a two-part series on compliance in Brazil, features Iris Bennett (Smith Pachter & McWhorter), Carlos Ayres (Maeda, Ayres & Sarubbi) and Steven Neuman (StoneTurn).  The first webinar focused on new forms of fraud, corruption and other crimes in the aftermath of COVID-19.  This second webinar will be an interactive discussion of the below topics:
-- Good governance and internal investigations: avoiding conflicts, ensuring independence, achieving credible findings, and ensuring appropriate Board awareness or involvement. 
-- Compliance-led vs. Board Committee-led (Audit or Special Committee): when to consider; pros and cons; best practices for supporting the Board in meeting their responsibilities.
-- What is good governance of internal investigations in the eyes of enforcement authorities and / or external auditors.

Internal Investigations in Brazil & the U.S.-Comparative Approaches & Challenges

This one hour webinar, featuring Iris Bennett (Smith Pachter & McWhorter), Carlos Ayres (Maeda, Ayres & Sarubbi) and Steven Neuman (StoneTurn), will be an interactive discussion of the current compliance landscape in Brazil considering the aftermaths of Covid-19, due to the new forms of fraud, corruption, and other crimes.  Topics will include, but are not limited to:

--Compliance Program Efficacy & KPIs
--Regulation & Transparency
--Tropicalization of Policies and Procedures
--Monitorships

The panelists will also discuss expectations and trends going forward as we look to 2022, including:

--Cross-Jurisdiction Settlements
--Risk Assessments
--Improvements in compliance for companies investing in Brazil
 
Please feel free to submit your questions for the panelists in advance by email to:  ecrispino@stoneturn.com

The Compliance Landscape in Brazil:New Forms of Fraud, Corruption & Other Crimes

Today, there is far less of a chance of finding the ‘smoking email’ in an investigation into accounting fraud, corruption, trade secret theft, or other matters..  Even before COVID forced us into a disjointed environment where the lines between work and personal lives blurred, technology has evolved to multiple channels of communication between friends, co-workers and other stakeholders. 

Identifying the parties involved in potentially nefarious activities requires looking at investigations through the lens of modern communication. This includes corporate-based messaging platforms like Slack and Teams, SMS, text apps, and many other data sources which provide the potential treasure trove of virtual information that investigators should evaluate.

Please join panelists Emmanuel Ayuk (ADM) and Veeral Gosalia, Irumire (David) Okhumale, and Alex Semertzides (FTI Consulting) as they address these issues and your questions in this free webcast.

The Modernization of Communications and Corporate Investigations

With cyber risk at all-time highs, how do organizations make sense of the heightened cybersecurity requirements and expectations of government, business partners and customers?  In this special briefing, the speakers will take a look at key considerations for 2021, including:    
 
--Rising industry and governmental expectations and standards;
--Government contracting considerations;
--DHS and CISA’s role in securing critical infrastructure;
--What’s to come following the SolarWinds & Mimecast attacks; and
--An overview of key compliance initiatives including CFIUS and expectations of foreign owned businesses, and how to prepare.

Please join Luke Tenery and Scott Boylan of StoneTurn, and Evan Wolff of Crowell & Moring for this free webcast!

Navigating Federal Cybersecurity Issues in High Risk Times

By any measure, 2020 was another record year for the SEC’s Dodd-Frank Whistleblower Program.  The Office of the Whistleblower received over 6,900 whistleblower tips, the highest since the inception of the Whistleblower Program, from 78 foreign countries and every state in the Union.  In response, the Office awarded $175 million in awards to 39 individuals, both the highest dollar amount and the highest number of award recipients to date.  Additionally, the SEC has adopted controversial amendments to the rules governing the Whistleblower Program, which will affect corporations and whistleblowers alike.  Together these trends provide the perfect storm for keeping in-house counsel and compliance professionals up at night.
 
Securities Docket is pleased to present its tenth annual webcast on Dodd-Frank’s whistleblower provisions. This year’s panelists once again include leading practitioners in all aspects of Dodd-Frank whistleblower litigation and investigations, including F. Joseph Warin, John W.F. Chesley, Courtney Brown, and Nicole Lee of Gibson Dunn, former SEC Office of the Whistleblower Chief Sean X. McKessy of Phillips & Cohen, and Jim Barratt of AlixPartners.
 
This free, 90-minute webcast will include a dynamic and participatory discussion on the statutory and regulatory framework of Dodd-Frank’s whistleblower provisions, their interpretation by the SEC Office of the Whistleblower and federal courts, and provide participants with practical tips for navigating the minefield of whistleblower complaints.

Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2020 Update)

In this annual webcast, our panel will discuss the key developments in SEC enforcement matters from 2020, and what lies ahead. Among other items, the panel will address:
 
• enforcement results under Chairman Jay Clayton, and what to expect in a new administration;
• new legal and policy issues arising from enforcement cases; and
• the impact of COVID and developments involving ICO’s; insider trading; FCPA; financial reporting; remedies and sanctions; and the Whistleblower Program.
 
Please join panelists Bill McLucas from Wilmer Cutler Pickering Hale and Dorr LLP; Doug Davison from Linklaters; and Marty Wilczynski and Jason Flemmons from Ankura Consulting as they address these and other key developments in SEC enforcement.

SEC Enforcement: A Look Back at 2020, and What to Expect in 2021

The COVID-19 pandemic has dramatically impacted company financial performance and has raised the prominence of financial reporting and disclosure items which, in recent years have not faced much change or scrutiny, in periodic financial reporting and an M&A environment. However, in the wake of the pandemic, items like material adverse change clauses, goodwill and other intangible asset impairment, and going concern assessments will challenge companies and face scrutiny from investors, creditors, and the SEC.  Join experts from Latham & Watkins and FTI Consulting for a discussion of current issues in corporate reporting, litigation, and SEC enforcement matters.

COVID-19 Pandemic-Related Compliance, Fin. Reporting & SEC Enf. Considerations

The SEC’s Dodd-Frank Whistleblower Program continues to be a robust source of information driving the Commission’s enforcement docket.  In FY 2019, the Office of the Whistleblower received more than 5,000 whistleblower tips from 70 foreign nations and every U.S. state, handing out $60 million in cash awards in return.  On top of that, Dodd-Frank-related litigation continues apace in the federal courts and legislative / regulatory responses to the Supreme Court’s decision in Digital Realty Trust wind their way through the halls of Congress and the Commission.  Together these trends provide the perfect storm for keeping in-house counsel and compliance professionals up at night.
 
Securities Docket is pleased to present its eighth annual webcast on Dodd-Frank’s whistleblower provisions.  This year’s panelists once again include leading practitioners in all aspects of Dodd-Frank whistleblower litigation and investigations, including F. Joseph Warin and John W.F. Chesley of Gibson Dunn, former SEC Office of the Whistleblower Chief Sean X. McKessy of Phillips & Cohen, and Jim Barratt of Ankura Consulting.  

This free 90-minute webcast will include a dynamic and participatory discussion on the statutory and regulatory framework of Dodd-Frank’s whistleblower provisions, their interpretation by the SEC Office of the Whistleblower and federal courts, and provide participants with practical tips for navigating the minefield of whistleblower complaints.

Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2019 Update)

In this annual webcast, our panel will discuss key SEC enforcement issues from 2019, now, and what to expect ahead. Among other items, the panel will address:

• enforcement priorities;
• current legal and policy issues arising from enforcement cases; and
• developments in ICO’s; cyber-related matters; insider trading; FCPA; financial reporting; remedies and sanctions; and the Whistleblower Program.

Please join panelists Bill McLucas from Wilmer Cutler Pickering Hale and Dorr LLP; Doug Davison from Linklaters; and Marty Wilczynski from Ankura Consulting as they address these and other key developments in SEC enforcement.

SEC Enforcement: Current Developments and What’s Ahead for 2020

The financial services industry generates and records massive amounts of transactional, operational, and other business data on a daily basis.  Yet, the challenge financial institutions face is how best to leverage myriad data sources to effectively mitigate business and regulatory risk. 

On March 25, Securities Docket presents a panel of industry and data analytics experts to help brokers, dealers, financial services leaders and their counsel turn data into valuable insights to spot and prevent fraud. Join Joshua Dennis, StoneTurn; Ellen Lafferty, HSBC; and Dan Ward, Ropes & Gray for this thought-provoking panel moderated by A.J. Bosco. Participants will gain an actionable understanding of how data analytics can be used to uncover useful information, suggest conclusions and support sound decision-making in the financial services industry.

Leveraging Data Analytics to Minimize Risk in the Financial Services Industry

Securities Docket's annual "year in review" webcast featuring many of the leading bloggers and commentators in the field. The panel will include Matt Kelly, Francine McKenna, Mike Koehler (aka the "FCPA Professor"), Francis Pileggi, Kevin LaCroix, Tracy Coenen, Lyle Roberts and Bruce Carton.

2010 Year in Review: Securities Enforcement, Litig. & Compliance

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