Regulatory Compliance Association Reviews

Enforcement 2015- Developments, Trends and Priorities™

Practice Edge 02

Date: August 11, 2015
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

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Regulatory Agencies have been active in the securities and commodities enforcement area in recent times. There are number of developments, trends and priorities emerging from the work of these agencies. Among these are: (1) targeted areas of enforcement for the SEC’s Asset Management Unit; (2) developments in the scope of insider trading liability for tippees (including both judicial and legislative aspects); (3) the continued impact of whistleblowers on enforcement programs and internal corporate compliance management; (4) the SEC’s increased use of the administrative forum for litigating enforcement actions, which has resulted in more frequent due process and constitutional challenges; (5) emerging trends in high frequency trading enforcement; and (6) inflation of penalties required to resolve high-profile enforcement matters involving entities. As 2015 rolls into its latter half, this panel will explore and highlight the significance of each of these important areas for industry participants and outside counsel.

Students will master the following at the conclusion of this session:

  • Develop and Outline the latest developments, trends and priorities in regulatory enforcement actions, including penalty inflation.
  • Identify and comprehend the SEC’s Asset Management Unit – Differentiating Priorities for 2015.
  • Recognize and appreciate the continued focus on Insider Trading- Newman and a legislative fix?
  • Whistleblowers– Defining their increased importance in the referral of cases and in how entities handle whistleblower allegations.
  • High Frequency Trading – Outlining increased enforcement activity – are there trends developing?
  • Increased Use of Administrative Forum for Litigation of Disputes – The increased challenge to due process and constitutionality.

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

William F. Johnson, JD, Partner, King & Spalding

Guest Lecturers:

Christopher P. Conniff, JD, Partner, Ropes & Gray
Michael J. Friedman, JD, General Counsel & Chief Compliance Officer, Trillium
Kirk D. Rule, JD, J.P. Morgan Alternative Asset Management, Inc. (Formerly General Counsel & Chief Compliance Officer, Kensai Asset Management)
Valerie A. Szczepanik, JD, Assistant Director, Asset Management Unit,Division of Enforcement, SEC

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