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Past Event
19 June 2014


  • Richard M. Rosenfeld
    T +1 212 506 2178

For Financial Institutions: Securities Enforcement 2014

Why You Should Attend

In addition to the traditional banking regulations that outline capital requirements, define consumer protections, and demand prudence in all transactions, banks must also adhere to myriad securities laws that pertain to bank securities activities—that include everything from proprietary trading and investment activity to underwriting, derivatives, and more.

Although not all securities regulations apply to financial institutions, practitioners need only consult the headlines about banks being prosecuted for violations of securities laws to know that they should be aware of recent developments in U.S. securities regulation.

Register today for this concise and informative CLE program, led by financial services counsel and an Associate Director from the SEC’s Division of Enforcement, so you can understand what securities laws apply to financial institutions—and how they are enforced.

What You Will Learn

Topics include:

  • Financial Reporting and Audit Task Force (liability for financial statements, accounting treatments and financial disclosures etc.)
  • Foreign Corrupt Practice Act (FCPA) (focus on financial institutions and private funds)
  • whistleblowers (policies, procedures, and recommendations for addressing actual and potential whistleblower allegations and claims)
  • new developments in settlements terms (actions against gatekeepers, executives and other individuals, admissions of liability, large penalties and fines, SOX claw backs)
  • collateral consequences of SEC settlements (impact of settlements on a company’s business activities and recommendations for limiting these consequences)
  • litigating against the SEC (deciding whether and how to litigate against the SEC rather than reach a settlement)
  • parallel criminal and SEC investigations (strategies for handling parallel investigations)
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