Enforcement: Government Agencies Perspectives in 2014
Overview:
In this 2-hour webcast, the panel will discuss the latest changes in enforcement with an emphasis upon the priorities of federal and state regulators and give advice on Enforcement Avoidance and Remedy.Key topics include:
- Enforcement Priorities of Federal and State Regulators
- New and Up-Coming Rules and Regulations
- Swaps and Derivatives and Market Enforcement
- Financial Reporting and Fraud
- Legal and Policy Developments
- Enforcement or Deterrence
- Remedies: What to Expect
- Facing Multi-Agency and Inter-agency Investigations
- Ethics in Enforcement
Agenda:
Elizabeth P. Gray, Partner
Willkie Farr & Gallagher LLP
Douglas Davison, Partner
Wilmer Cutler Pickering Hale and Dorr LLP
James R. Burns, Partner
Willkie Farr & Gallagher LLP
- Enforcement Priorities of Federal and State Regulators
- New and Up-Coming Rules and Regulations
- Swaps and Derivatives and Market Enforcement
- Financial Reporting and Fraud
- Legal and Policy Developments
- Enforcement or Deterrence
- Remedies: What to Expect
- Facing Multi-Agency and Inter-agency Investigations
- Ethics in Enforcement
Who Should Attend:
- In-House and Outside Counsel
- Businesses and Individuals that Complies with Regulatory Requirements
- Multi-National Companies
- Private Companies
- Public Companies
- Other Related/Interested Professionals and Organization
Elizabeth P. Gray is a partner in Willkie’s Litigation Department. Ms. Gray is a nationally recognized expert in the area …
Douglas Davison is a Partner at WilmerHale and a vice chair of the firm's Securities Department. His practice consists of …
James R. Burns is a partner in Willkie’s Asset Management Group, focusing on counseling investment managers, broker-dealers, self-regulatory organizations, and …
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
NONE
Course Code:
144849
NASBA Field of Study:
Specialized Knowledge and Applications
NY Category of CLE Credit:
Areas of Professional Practice
Total Credits:
2.0 CLE
Login Instructions:
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SPEAKERS' FIRMS:
About Willkie Farr & Gallagher LLP
Willkie Farr & Gallagher LLP is a leading international law firm that provides strategic legal representation and counsel to market-leading public and private companies worldwide. Founded in 1888, the firm has approximately 600 lawyers based in key financial centers: New York, Washington, Paris, London, Milan, Rome, Frankfurt and Brussels. Willkie’s top-tier Securities Litigation and Enforcement Practice is particularly renowned for its strength in the areas of investment advisor, broker dealer, and financial reporting expertise. The firm has handled some of the highest-profile audit committee investigations into fraudulent financial reporting, and most recently is defending numerous SEC and Department of Justice investigations and proceedings related to these areas.
Website: https://www.willkie.com/
About Wilmer Cutler Pickering Hale and Dorr LLP
WilmerHale is 1,000 lawyers strong with offices in 14 cities in the United States, Europe and Asia. We provide unparalleled legal representation across a comprehensive range of practice areas that are critical to the success of our clients. Our lawyers focus on advising clients and litigating matters where governmental regulation, public policy and business intersect. WilmerHale's securities practice of more than 200 lawyers offers premier enforcement, litigation and regulatory capabilities, and is widely recognized for its experience in all aspects of capital markets, investment management, broker-dealer and financial services regulation.
Website: https://www.wilmerhale.com/