Materials — Securities Enforcement Forum West 2017

Materials by Panel

Panel 1: Insider Trading Trends and Developments

  1. Supreme Court Clarifies Insider Trading Liability for Confidential Tips
  2. U.S. Attorney’s Office and SEC Charge Portfolio Manager with Insider Trading; Stretch the Limits of Newman’s Personal Benefit Standard
  3. Right Back Where We Started From? In Salman, the Supreme Court Clarifies the ”Personal Benefit” Test but Otherwise Leaves Undisturbed Insider Trading Contours
  4. Insider Trading: The Unknowable Crime
  5. Insider Trading Laws and Enforcement
  6. The Call for a Statutory Insider Trading Law
  7. Insider trading questions remain
  8. SEC’s Trader-Based Approach To Insider Trading Enforcement
  9. Year in review: the SEC in 2016 

Panel 2: Silicon Valley Spotlight: Regulation, Enforcement and Prosecution Trends

  1. District Court Says Indirect Purchasers of Shares Can Bring Fraud Claims Against Private Company and its Officers
  2. SEC Chair Mary Jo White Keynote Address at the SEC-Rock Center on Corporate Governance Silicon Valley Initiative
  3. SEC Scrutiny of Secondary Market Trading
  4. Unicorns Under Scrutiny: SEC Previews Its “Long Arm” Of Law
  5. Private Funds Year in Review and 2017 Outlook
  6. SEC Focuses on Silicon Valley: Hot Enforcement Areas
  7. SEC Crackdown on “Fake News” is Itself Fake News

Panel 3: Litigating Securities Fraud Cases Against the SEC and DOJ 

  1. Trends in Federal White Collar Prosecutions
  2. Final trial scorecard for FY 2016: SEC goes 4-1-1 in 6 trials
  3. DOJ Attempts to Encourage Corporate Self-Disclosures With the Announcement of a One-Year FCPA Pilot Program
  4. Constitutionality of SEC’s Administrative Law Judges Headed to Supreme Court?
  5. DOJ Launches New FCPA Self-Reporting Pilot Program
  6. Congress May Significantly Increase SEC Civil Penalties Up To $10 Million Per Violation
  7. Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judges

Panel 4: Financial Firm Spotlight — Enforcement and Regulatory Update and Recent Developments

  1. SEC’s Enforcement Actions Against Private Equity & Hedge Funds
  2. FINRA 2017 Regulatory and Examination Priorities Letter
  3. SEC Examination Priorities for 2017
  4. The Year in Review: SEC Enforcement Actions Against Investment Advisers
  5. SEC Fines Broker-Dealer for Inadequate Information Barriers
  6. Continued Regulatory Focus on US Political Contributions
  7. New York DFS Proposes New Rules on Cybersecurity
  8. 12 AML Obligations Every Broker/Dealer Needs to Know

Panel 5:  Whistleblower Update

  1. SEC Awards Nearly $4 Million to Whistleblower
  2. SEC Sends Message Via Enforcement Action: Don’t Stifle Employee Whistleblowing
  3. SEC’s 2016 Annual Report on the Dodd-Frank Whistleblower Program
  4. Highlights of SEC’s 2016 Annual Whistleblower Report
  5. Ever Active and Perhaps Not So New—The SEC Awards Three Dodd-Frank Whistleblowers
  6. More states should consider creating reward programs for securities whistleblowers
  7. SEC protects whistleblowers’ rights in severance agreements, stops ‘retaliation’
  8. SEC Settles Enforcement Cases with Two Companies for Whistleblower Violations
  9. Circuit Split on Whistleblower Protections Widens
  10. SEC Office of the Whistleblower
  11. SEC Whistleblower Awards

Panel 6: Financial and Accounting Fraud

  1. Risky Business: SEC Focuses on Internal Controls
  2. The SEC Enforcement Division’s Focus on Auditors and Auditing
  3. SEC Financial Reporting and Audit Task Force
  4. How to Navigate the SEC’s Proposed Mandate on Clawbacks
  5. SEC Complaint Serves as Reminder to Carefully Consider Disclosure Obligations Relating to Government Investigations
  6. Recent SEC Enforcement Actions and Public Commentary Demonstrate the Commission’s Continued Focus on Internal Control Failures
  7. SEC, Financial Reporting, and Financial Fraud
  8. Surviving a Restatement: Ten Pitfalls to Avoid

 Panel 7: The Exploding Role of Big Data and Technology in Securities Enforcement, Regulation and Defense

  1. SEC Enforcement in Financial Reporting and Disclosure—2016 Year in Review
  2. Here’s How the SEC Is Using Big Data to Catch Insider Trading
  3. Speech by SEC Commissioner Kara M. Stein: A Vision for Data at the SEC 
  4. Speech by SEC’s Scott W. Bauguess: Has Big Data Made Us Lazy?
  5. Big Data is the SEC’s New Secret Sauce in Search for Potential Accounting Fraud
  6. Big Data and Analytics Use ‘Transformative’ for SEC, White Says

Panel 8: FCPA Trends and Developments

  1. 2016 Year-End FCPA Update
  2. FCPA 2016 Year in Review
  3. FCPA enforcement report for Q1 2017
  4. Top Ten International Anti-Corruption Developments
  5. The First 100 Days: Uncertainty in FCPA Enforcement
  6. Has the DOJ Perspective on Corporate Compliance Evolved?: Three Ways the DOJ’s Recent Guidance Differs from the FCPA Resource Guide and U.S. Sentencing Guidelines
  7. DOJ’s New FCPA Pilot Program Will Have Only Marginal Impact
  8. Global Anti-Bribery Year-in-Review: 2016 Developments and Predictions for 2017
  9. Gleaning Best FCPA Practices for Directors from Recent Government Actions
  10. With New Guidance, DOJ Signals What Companies Should Expect to Answer During FCPA Inquiries

Panel 9:  Managing a True Corporate Crisis/Major Internal Investigation

  1. Guideposts for Handling Corporate Investigations 
  2. DOJ Provides Guidance on Its Expectations of “Best Practices” for Corporate Internal Investigations
  3. Corporate Internal Investigations: Best Practices, Pitfalls to Avoid
  4. How to Protect Attorney-client Privilege in Internal Investigations
  5. Fraud in the Supply Chain 
  6. Global profiles of the fraudster


When: Thursday, May 10, 2018
7:00 am - 8:15 am (breakfast & check-in)
8:15 am - 5:00 pm (followed by cocktail party)
Where: Fairmont Hotel (details, map)
950 Mason Street
San Francisco, California 94108
CLE Credit: 6.25 hours (approved in CA)
SEF2014 CLE -sm6.25 hrs CLE credit approved in CA. Forms available here.


Links to materials available here.

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