2016 Agenda



7:00-8:00           Breakfast 

8:10-8:30           Opening Remarks; Morning Keynote by Andrew J. Ceresney, Director, SEC Division of Enforcement

8:30-9:30           Financial Reporting and Accounting Fraud

-15 min break-

9:45-11:00         Directors Panel

-15 min break-

11:15-12:15       FCPA, SEC/DOJ Joint Actions, and Other Criminal Enforcement Trends               

12:15-1:30          Lunch and Afternoon Keynote by Hon. Leslie R. Caldwell, Assistant Attorney General, Criminal Division, U.S. Department of Justice

1:30-2:30          Silicon Valley Spotlight: Regulation, Enforcement and Prosecution Trends

-15 min break-

2:45-3:45          Insider Trading, Whistleblowers and the Expanding Role of Big Data in Securities Enforcement                         

-15 min break-

4:00-5:00           SEC/FINRA Investigations and Cybersecurity Priorities Regarding Hedge Funds, Asset Managers and Broker-Dealers



Securities Enforcement Forum West 2016 will address the most pressing and important issues and trends in the world of civil and criminal securities enforcement. Drawing on the experience of our extraordinary faculty of former and current senior officials of the SEC and the DOJ, as well as many other preeminent attorneys practicing in this area, SEFW 2016 will analyze issues including:

  • FCPA and anti-corruption trends, developments and best practices worldwide
  • The evolving definition of insider trading and compliance challenges for companies and investment firms
  • Ethics issues in bringing and defending SEC investigations
  • Impact of the ongoing “Changing of the Guard” at the SEC and DOJ
  • Trends in the criminalization of securities law
  • Developments in cybersecurity affecting public companies and regulated entities
  • International enforcement of securities laws, and cooperation with the U.S.
  • Trends and key issues in financial fraud and accounting investigations
  • Enforcement developments in SEC, FINRA, and other investigations regarding hedge funds, asset managers, broker-dealers and other investment entities
  • The future of the SEC settlement process in the era of required admissions;
  • Cooperation agreements, non-prosecution agreements and deferred prosecutions agreements
  • The increased use of trials, administrative proceedings, aggressive prosecutorial tactics and forensic analysis in securities enforcement matters
  • Whistleblower developments and the role of the SEC’s whistleblower program under Dodd-Frank