Name: Navigating the Intersection of the FCPA, AML and Extraterritorial US Laws
Start: 2013-06-18T17:00:00Z
End: 2013-06-18T18:06:35.000Z
Location: BrightTALK
Rating: 4.26

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 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, 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 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

In a recent case the DOJ dubbed a “wake-up call,” the SEC and DOJ charged four individuals for their roles in a massive international bribery scheme, which the SEC discovered during a periodic examination of a broker-dealer. The agencies allege that employees of Direct Access Partners, LLC (“DAP”), a registered broker dealer, paid illicit bribes to high-ranking officials of Banco de Desarrollo Economico y Social de Venezuela (“BANDES”), the state-owned economic development bank of Venezuela. The action illustrates how conduct that has traditionally formed the basis of a Foreign Corrupt Practices Act (“FCPA”) case might also subject individuals and entities to a much broader array of charges under US law, including charges under anti-money laundering laws and the Travel Act. 

Join an experienced panel of government enforcement experts to learn how multi-national organizations in all industries can ensure that they have developed and implemented robust compliance programs that address these overlapping regulatory schemes.

Navigating the Intersection of the FCPA, AML and Extraterritorial US Laws

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