Name: SEC Enforcement: A Look Back at 2020, and What to Expect in 2021
Start: 2021-01-12T18:00:00Z
End: 2021-01-12T18:01:04.000Z
Location: BrightTALK
Rating: 4.81

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.

On November 22nd, the Securities and Exchange Commission (SEC) announced its enforcement results for Fiscal Year 2024.  During the year, the SEC filed 583 total enforcement actions while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history.  Please join our webcast to hear from current SEC officials as they unpack and highlight key points from the year-in-review results – with perspective from a Division of Enforcement attorney and accountant.  Our discussion will also highlight important considerations for practitioners when conducting parallel investigations with the SEC and DOJ.  Some of the areas that will be discussed include:
 
--Overview of the SEC Enforcement Results for 2024 in comparison to the 2023 results
--Case highlights from the 2024 enforcement results
--Proactive measures by market participants to promote a culture of compliance
--Key considerations when conducting parallel government investigations

SEC Enforcement Update: Year-in-Review and Considerations when Conducting Parallel Government Investigations

Recent changes in the USDOJ’s guidelines for the Evaluation of Corporate Compliance Programs (ECCP) and recent enforcement actions by the US SEC serve to both expand and reinforce the expectations for what constitutes a good compliance program and what companies should be considering when investigating and remediating potential misconduct.  Some of the areas that will be discussed: 

• An update on recent enforcement actions and a discussion of current issues that are being seen in investigations.  
• The pairing of data and technology to enhance the compliance team’s ability to identify areas meriting further review. 
• The integration of compliance into newly acquired entities and the need to monitor and update controls to limit the risks of inappropriate conduct.
• Ensuring that mechanisms to report potential wrongdoing are publicized and provide protection to employees who raise issues 

 This panel will include former USDOJ and current SEC officials who can discuss how companies should be implementing learnings from recent SEC and USDOJ actions and the new guidance.

An FCPA Update - Recent Developments and Recurring Compliance “Blind Spots”

Corporate gatekeepers play an increasingly important role within organizations as a critical line of defense against corporate misconduct.  As regulators and enforcement agencies increase focus on individual accountability as a means of deterrence against corporate wrongdoing, it is more important than ever for in-house gatekeepers to be aware of their own potential liability and expectations to maintain good corporate governance and an effective corporate compliance program.  Some of the areas that will be discussed include:
 
--Roles and expectations of corporate gatekeepers
--Trends and recent cases involving gatekeepers
--Best practices and other considerations for in-house gatekeepers with a focus on compliance officers
 
The panel will include former US DOJ officials and corporate compliance specialists who can discuss current topics and trends impacting corporate gatekeepers and related best practices.

Corporate Guardians: Trends and Considerations Affecting Gatekeeper Liability

Russ Ryan and Nick Morgan are both former senior attorneys with the SEC's Division of Enforcement. Russ was an Assistant Director at the SEC in Washington, D.C. serving for 10 years. Nick served for seven years as Senior Trial Counsel in the SEC's Los Angeles Regional Office. Today, however, both Russ and Nick have pursued very different roles--both men now belong to organizations committed to  bringing "impact litigation" against the SEC for what they believe is overreach by the agency. Join Russ Ryan, Nick Morgan, and moderator Bruce Carton for a discussion about how and why these two former SEC enforcement attorneys are now trying to flip the script on the agency where they once worked.

Why Two Former SEC Lawyers Now Bring “Impact Litigation Against SEC Overreach”

Headlines are filled with government activities targeting Environmental, Social, and Governance (ESG) claims, with regulators assessing firms with multi-million dollar penalties for greenwashing. New rules are being issued to expand greenhouse gas emissions reporting and reductions. The SEC's upcoming rules promise to address ESG claims by corporations and investors.  This program features a panel of SEC and ESG counsel and advisors who will offer legal, regulatory compliance, and environmental perspectives on who is impacted by these new disclosure regulations and how firms should respond. Questions to be answered include: 

--How the SEC reporting requirements fit into a broader set of federal initiatives 
--What California’s recently-announced carbon reporting requirements mean for companies operating in California and elsewhere 
--How U.S. disclosure rules compare to International Financial Reporting Standards
--Where international requirements are binding companies with a global presence and how those rules already are being felt domestically 
--Which companies need to embark on carbon emissions reporting and climate action plans now versus at some point in the future 
--What material statements have companies already made that could put them at risk

ESG Disclosures and Exposures: How Regulations are Getting Real

2023 Cybersecurity Lookback and Outlook for 2024 – Regulatory Convergence Hits Full Digital Stride

In 2023, the cybersecurity landscape saw a great focus on convergence by regulators, with companies needing to take a more proactive approach to managing risks and affecting positive governance across cybersecurity, critical infrastructure, AI, and other related material issues.
 
As we look to 2024, companies will look to mature their governance approach into de-risking from worrisome tech-sources, and by optimizing integration of GRC strategy with enhanced operational maturity and effectiveness.  Speakers will discuss the ways companies will address these needs, including:
--New cybersecurity and data compliance considerations
       --Highlighting the primary information, risks, and technologies in focus by regulators
       --What business situations are heightening the problem areas.
--How to effectively confront a hybrid of regulator and compliance issues
       --Critical updates to address in cybersecurity and privacy risk management
       --Data governance strategies to find effectiveness and efficiency during the Convergence

2023 Cybersecurity Lookback and Outlook for 2024

Please join us for a timely discussion about the regulatory landscape and its impact on Security, Business, Privacy, and Legal risk considerations.  Emerging technologies such as Digital Assets, Digital Asset Trading Platforms, Cryptocurrency exchanges, Artificial Intelligence, Machine Learning, and Large Language Models have all grown in going concern.
 
Regulatory impact around these issues is specifically being felt across industries, occurring before, during, and after cybersecurity and digital incidents. Burgeoning technologies create new challenges, requiring legal, digital, and cybersecurity risk leaders to evolve in lockstep, anticipating compliance issues.

Speakers:
Justin Herring, Partner, Mayer Brown (former Executive Deputy Superintendent, Cybersecurity Division, New York Department of Financial Services)
Erez Liebermann, Partner, Debevoise
Luke Tenery, Partner, StoneTurn
Daron Hartvigsen, Managing Director, StoneTurn

Key Risk & Regulatory Compliance Considerations on AI and Digital Assets

SEC’s Dodd-Frank Whistleblower Program continued to break records in FY 2022.  The Office of the Whistleblower (“OWB”) received over 12,300 whistleblower tips, the highest in any year since the SEC established the whistleblower program in 2011, from all over the world and the United States.  The SEC issued awards totaling over $229 million to over 100 whistleblowers in FY 2022, closely following the prior year’s record-high numbers.  FY 2022 also saw over 760 enforcement actions brought by the SEC, through which the SEC sought the highest amount of monetary penalties in several years.  Together with uncertainties in the markets and complex regulatory environments, these trends 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, Molly Senger, 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 (2022 Update)

In this annual webcast, our panel will discuss the key developments in SEC enforcement matters from 2022, 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 accounting and financial reporting; ESG; digital assets; insider trading; FCPA; 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 2022, and What to Expect in 2023

An investment strategy should consider national security concerns, especially when they include non-U.S. entities, partners, or investors. Investment opportunities into foreign economies have never been more prevalent. More and more governments are establishing and/or expanding their oversight and regulatory authority over these transactions, motivated by geopolitical considerations, concerns for national security, and protecting their own economical and cultural self-interests. Regardless of industry, an investment strategy should be closely reviewed with a national security lens and align with regulator expectations. With today’s ever-changing geopolitical climate, governments and regulators have given increased scrutiny to foreign investments that involve emerging and critical technologies, critical infrastructure, and personal data.  Understanding the shared regulatory trends, as well as unique considerations of each regime, has become critical for those engaged in international trade, investment, and mergers and acquisitions.   
 
This program will feature the below speakers having an interactive discussion of these issues, looking at the trends that have emerged in 2022, identifying anticipated changes and focuses in regulatory reviews from both CFIUS and Non-US FDI Regimes, and providing insight and proactive suggestions on how companies should approach investments in 2023 to mitigate risk and comply with regulation oversight.
 
Scott Boylan, Partner, StoneTurn
Brian Egan, Partner, Skadden
Nate Fisher, Managing Director, StoneTurn
Joe Molosky, Associate, Skadden

CFIUS and Non-US FDI Regimes – A 2022 Lookback and 2023 Outlook

Economic downturns have historically driven an increase in insider threat issues and digital asset risks. Recent Whistleblower issues concerning cyber risks have forced firms to look inwardly in new ways to mitigate security weaknesses.  Organizations need a new playbook to prepare following the post-Covid digital footprint expansion and new considerations on materiality and regulatory guidance.
 
Recent corporate turmoil has shown that cyber and digital asset risk, combined with the human element, are critical to managing material risk issues.  Organizations can no longer rely solely on dated technologies like data loss prevention (DLP) and basic access controls to prevent theft, breach of duties, or fiduciary concerns.  Join cyber and privacy risk experts Andrew Pak from Perkins Coie and Luke Tenery from StoneTurn for an insightful discussion on insider threat and whistleblower considerations for risk and legal managers for the digital enterprise.  Key discussion topics will include insider threat cyber readiness, how insiders are creating weaknesses, and whistle blower obligations in the digital enterprise.

Cyber Risk: Insider Threat and Whistleblower Risk Management

The cross-roads between technology and law are becoming more evident through the unfortunate surge of data breaches, ransomware and data exfiltration events that are tied to trade secret, IP and executive level strategy theft year over year. Companies and individuals are being targeted by sophisticated, well-funded hacker and cyber terrorism groups seeking to exploit or extract sensitive and valuable information, while simultaneously, insider threats that are monetizing this material for personal gain are also on the rise. 

As opposed to more common data breach matters, which are often executed without consideration for the particular target, these types of incidents arise from specific targeting for specific goals – for example, to view non-public financial information for insider trading, or to steal trade secrets. These incidents require sophisticated and deep investigation across a broad swath of an organization’s systems and data repositories and can often lead to regulatory, litigation or other counter-offensive measures. Unfortunately, these forms of targeted incidents are becoming common events across all industries regardless of company size.

Please join us for this free webcast in which our panel will address these topics and other developments in the digital assets industry, as well as your questions.

IP Theft: Unraveling Cyber Threat Intelligence

In this webcast, Ankura Consulting professionals will discuss regulatory and risk considerations companies should be aware of when looking to incorporate digital assets into their business.  The panel will also go into the unique features of conducting investigations involving digital assets when compared to more traditional investigations involving fiat currencies only.  Among other topics, the panel will cover:

--Regulatory considerations for companies entering the digital assets space.
--Importance of a strong compliance program to deter criminal activity and prevent being the target of regulatory enforcement actions.
--Types of frauds and criminal activity that affect the digital assets space.
--Best practice investigation methodologies when digital assets are involved.
--Leveraging technology to address compliance issues and to aid in investigations.
--The regulatory enforcement landscape outlook for digital assets.

Please join Ankura Consulting digital assets professionals Ayana Murphy, compliance and AML expert, Brad Lohmeyer, data and technology expert, and Andrew Sotak, forensic accounting investigations expert as they address these topics and other developments in the digital assets industry.

Addressing Digital Asset Integration Risks: From Regulation to Investigation

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 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

Enforcement

Year in Review

FCPA

Insider Trading

Covid-19

Cryptocurrency

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