Materials — Securities Enforcement Forum West 2018

Materials by Panel

Panel 1 — Cybersecurity: Enforcement and Regulation of the “Greatest Threat to Our Markets Right Now”

  1. SEC Cybersecurity Enforcement at Watershed Moment: How Companies Should Prepare
  2. The SEC Enforcement Division’s Initiatives Regarding Retail Investor Protection and Cybersecurity
  3. Commission Statement and Guidance on Public Company Cybersecurity Disclosures
  4. SEC Issues Guidance on Cybersecurity Disclosures
  5. Cybersecurity: The SEC’s Wake-up Call to Corporate Directors
  6. A Dozen Obvious (and Not So Obvious) C-Suite Takeaways from the 2018 SEC Cyber-Disclosure Guidance
  7. In the Matter of Altaba Inc., f/d/b/a Yahoo! Inc.

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

  1.   SEC Fines Private Company in First Enforcement Action Resulting from Rule 701 Option Grants Investigation  
  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.   Silicon Valley could be the next hotspot for SEC whistleblowers
  5.   Unicorns Under Scrutiny: SEC Previews Its “Long Arm” Of Law
  6.   Preparing for the SEC’s Increased Pursuit of Compliance Officers
  7.   SEC Focuses on Silicon Valley: Hot Enforcement Areas

Panel 3 — Insider Trading Trends and Developments and Whistleblower Update 

  1. Big Data and the Risks of Insider Trading
  2. On Insider Trading, There Ought to Be a Law
  3. The Extent and Intensity of Insider Trading Enforcement – an International Comparison
  4. SEC’s Trader-Based Approach To Insider Trading Enforcement
  5. Think the SEC EDGAR Data Breach Involved Insider Trading? Think Again.
  6. Insider Trading Law After Salman
  7. SEC’s 2017 Annual Report on the Dodd-Frank Whistleblower Program
  8. Key Takeaways from SEC’s 2017 Whistleblower Report
  9. Who Is a Whistleblower Under Dodd-Frank’s Anti-Retaliation Provisions?
  10. One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective
  11. SEC Office of the Whistleblower
  12. Top 10 SEC Whistleblower Awards

Panel 4 – Financial Firm Spotlight — Enforcement and Regulatory Developments for Asset Managers, Broker-Dealers, Hedge Funds and More

  1. FINRA 2018 Regulatory and Examination Priorities Letter
  2. SEC Examination Priorities for 2018
  3. SEC Chairman Identifies Guiding Principles
  4. SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds
  5. SEC Oversight Of Asset Managers: A Decade In The Making
  6. Ten Questions Key to the Current Regulatory Climate
  7. Electronic Communications in SEC Examinations and Investigations 

Panel 5 — Financial and Accounting Fraud

  1. The SEC Enforcement Division’s Focus on Auditors and Auditing
  2. SEC Financial Reporting and Audit (FRAud) Group
  3. Accounting & Financial Reporting Enforcement Round-Up (Sept. 2017)
  4. SEC Enforcement in Financial Reporting and Disclosure—2017 Year in Review
  5. Addressing Challenges for Highly Subjective and Complex Accounting Areas
  6. Risky Business: SEC Focuses on Internal Controls 

Panel 6 — Director’s Panel

  1. SEC Enforcement Annual Report for FY 2017
  2. SEC Leadership Discusses Continuing Priorities
  3. SEC Enforcement’s New Leadership and (Likely) Priorities
  4. 2017 Year-End Securities Enforcement Update

Panel 7 — Foreign Corrupt Practices Act Trends and Developments 

  1. Telecommunications Company Paying $965 Million For FCPA Violations
  2. 2017 Year-End FCPA Update
  3. 2017 FCPA Year-End Update
  4. DOJ Announces Revised FCPA Corporate Enforcement Policy

Panel 8 — Cryptocurrencies and ICOs:  Where Will Enforcement Strike Next?

  1. The SEC Man Cometh for ICO Attorneys
  2. Beware ICO Lawyers: As Regulatory Gatekeepers, You’re the Next SEC Target
  3. The SEC ICO Onslaught Has Begun, Here’s How to Know if Your ICO Will be the SEC’s Next Target . . .
  4. It’s On! Federal Judge to Hear First Ever Oral Argument Asserting ICOs are NOT Securities
  5. Chairman’s Testimony on Virtual Currencies: The Roles of the SEC and CFTC
  6. The SEC and Plaintiffs’ Class Action Attorneys Are Targeting Initial Coin Offerings
  7. Regulating Virtual Currencies
  8. Consensus: Immutable agreement for the Internet of value
  9. Securing the chain

Panel 9 — Litigating Securities Fraud Cases Against the SEC and DOJ 

  1. ALJs Check Their Own Work, With Unsurprising Results
  2. SEC Investigations: A Guide for Public Company Directors, Officers, and In-House Counsel
  3. D.C. Circuit Deadlocks on Challenge to SEC Judges
  4. Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judges
  5. Circuit Split Cries Out for Supreme Court Review
  6. In Action Against Yahoo, the SEC Seeks Emails Without A Warrant
  7. U.S. Supreme Court Holds SEC Disgorgement Is a Penalty Subject to a Five-Year Statute of Limitations
  8. SEC Administrative Court Dismisses Fraud Charges, Finding That Defendant Provided Adequate Disclosure Even When Disclosure Not Obvious
  9. Congress May Significantly Increase SEC Civil Penalties Up To $10 Million Per Violation


When: Thursday, May 9, 2019
7:00 am - 8:15 am (breakfast & check-in)
8:15 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel Silicon Valley (details, map)
2050 University Avenue
East Palo Alto, California 94303
CLE Credit: 6.25 hours (approved in CA)


Links to materials available here.

CLE Information and Forms

SEF2014 CLE -sm6.25 hrs CLE credit approved in CA. Forms available here.

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