Materials — Securities Enforcement Forum West 2020


COVID-19 – Securities Enforcement and Shareholder Litigation Ramifications

  1. SEC Coronavirus (COVID-19) Response
  2. The Importance of Disclosure – For Investors, Markets and Our Fight Against COVID-19 (SEC Chairman Clayton)
  3. Statement from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement, Regarding Market Integrity
  4. How the SEC Enforcement Division Responds to a Crisis
  5. COVID-19: Regulator Guidance on Privacy and Cybersecurity Issues Raised as Companies Respond to the Pandemic
  6. Considerations for Corporate Directors As Their Companies Confront COVID-19
  7. SEC Division of Enforcement emphasizes need for market integrity in context of COVID-19 pandemic
  8. What Companies Need to Know Now About Public Disclosures Concerning COVID-19
  9. SEC Examinations and Enforcement in the COVID-19 Era


Cybersecurity Disclosure and Enforcement: How Tough Will the SEC Get?


Silicon Valley Spotlight: Regulation, Enforcement and Prosecution Trends

Financial Disclosure and Accounting Fraud

  1. Building Strength from (Material) Weakness: Audit Committee Oversight of Internal Controls
  2. SEC Proposes to Modernize Disclosures of Business, Legal Proceedings and Risk Factors Under Regulation S-K
  3. SEC Financial Reporting and Audit (FRAud) Group
  4. SEC Speech —Pondering Financial Reporting: Remarks before the 2018 Leet Business Law Symposium
  5. SEC Is Watching Earnings Management Disclosures
  6. SEC charges company for failure to disclose material trends
  7. Private Companies: Beware of SEC Scrutiny
  8. SEC Enforcement in Financial Reporting and Disclosure: 2019 Mid-Year Update


Director’s Panel

  1. SEC Enforcement Annual Report for FY 2019
  2. 2019 Year-End Securities Enforcement Update
  3. The SEC/Musk/Tesla Settlement: The Dawning of a New Era of SEC Internet Enforcement
  4. SEC Enforcement Activity: Public Companies and Subsidiaries—FY 2019 Update
  5. Supreme Court Upholds Securities Fraud Liability for Defendant Who Did Not “Make” False Statements
  6. The Lasting Impact of Kokesh: Footnote 3 and Beyond
  7. Keynote Remarks of Sec Chairman Jay Clayton at the Mid-Atlantic Regional Conference (June 2019)


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

  1. SEC Examination Priorities for 2020
  2. FINRA 2020 Annual Risk Monitoring and Examination Priorities Letter
  3. Electronic Communications in SEC Examinations and Investigations
  4. These Are Volatile Times: What Asset Managers Need to Know—and Do—When SEC Comes Calling
  5. What does the SEC have in store for 2020?
  6. Regulatory Challenges in Illiquid Asset Valuation Litigation
  7. Mylan settles SEC charges for disclosure and accounting failures arising out of DOJ investigation
  8. SEC Warns Registered Firms About Client Privacy and Data Security


Big Data, A.I., and the Evolving Role of Technology in Conducting Internal Investigations and Prosecuting and Defending Securities Fraud Cases


Insider Trading 360° – Enforcement Trends and Key Cases, Prosecutions, and Legislation


Whistleblower Update: The Impact on Corporations and SEC Enforcement

  1. SEC Office of the Whistleblower
  2. SEC’s 2018 Annual Report on the Dodd-Frank Whistleblower Program
  3. SEC Awards $50 Million to Two Whistleblowers
  4. SEC Whistleblower Program Has Record-Breaking Year


Cryptocurrency Regulation, Enforcement and Litigation