REGISTER - LIVE WEBCAST

Overview:

Changes in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC) has become the point of discussion following the appointment of Gary Gensler as chairman. Heightened regulation and reversions are anticipated, particularly on the scope of fees and expenses, conflicts of interest disclosure, misuse of material non-public information, and other risk management policies.

These current and emerging developments underscore the new administration’s rigorous scrutiny on financial reporting and compliance processing. Thus, financial institutions, brokerage firms, and all affected companies should always be well informed to ensure that they are compliant with the SEC’s policies.

Listen as a panel of key thought leaders and practitioners organized by The Knowledge Group provide a comprehensive discussion on the recent SEC enforcement actions and investigations. Speakers will also offer helpful tips to manage potential risks as well as best compliance practices.

Some of the major topics that will be covered in this course are:

  • SEC Enforcement Action and Investigations: Recent Developments
  • Enforcement Priorities
  • Best Practices to Manage Risks
  • Compliance Tips
  • An Outlook

Credit:

Course Level:

Intermediate

 

Advance Preparation:

Print and review course materials

 

Method of Presentation:

Live Webcast

 

Prerequisite:

General knowledge of securities law

 

Course Code:

149590

 

NY Category of CLE Credit:

Area of Professional Practice

 

Total Credit:

1.0 CLE


How to Claim CLE Credits Per State:

https://knowledgewebcasts.com/how-to-claim-cle-credits-per-state/


CLE State Requirements:

https://knowledgewebcasts.com/cle-state-requirements/

Speaker Panel:

Derrelle M. Janey, Of Counsel
The Janey Law Firm

Derrelle Janey is the founder and managing partner at The Janey Law Firm LLP. Drawing from a decade of experience where he developed a national complex civil litigation practice at a prominent New York boutique law firm, Mr. Janey represents individuals and businesses in high-stakes litigation matters, including white collar defense.

Mr. Janey’s litigation experience ranges across a broad spectrum including securities litigation, financial services litigation, healthcare litigation and bankruptcy litigation in federal and state courts across the United States. He has considerable experience litigating securities matters, regulatory defense actions (e.g., actions commenced by the SEC), and complex healthcare matters (particularly those involving medical products distributors). In addition to New York State and Federal courts within the Second Circuit, Mr. Janey has appeared on many occasions in the United States District Court for the Eastern District of Michigan where he is admitted to practice, as well as federal courts in Florida, Massachusetts, New Jersey, Alabama, and state courts in California and Nevada.

Chelsea Staskiewicz, Attorney
Sheppard Mullin

Chelsea Staskiewicz is an associate on the Privacy & Cybersecurity and Securities Enforcement and Litigation teams. She is also a member of the Blockchain and Fintech Team.

Chelsea provides legal and compliance advice on cybersecurity and data privacy matters. Her experience includes all aspects of privacy compliance, cyber incident response, privacy notices, data mapping, information security programs, and vendor management.

As an associate in the Labor and Employment Practice Group, Chelsea assists clients’ employee data management needs, including employee privacy, acceptable use and social media use policies, and data loss prevention.

Chelsea also supports the Securities Enforcement and Litigation team on all things cyber. While in law school she was selected for the U.S. Securities and Exchange Commission’s Honors Intern Program and clerked for the Cyber Unit in the Division of Enforcement.

Agenda:

Derrelle M. Janey, Of Counsel

The Janey Law Firm

 

Chelsea Staskiewicz, Attorney

Sheppard Mullin

SEC – Enforcement Focused on Cyber

  • Email account take overs. The SEC took action on August 30, 2021, against three broker-dealers and investment advisory firms (Cetera, Cambridge, and KMS Financial Services Inc.) in connection with hacked cloud-based email accounts resulting in breach of personally identifying information.
    • New phishing emails and common hacks
    • Putting it into practice: (1) Meaningful compliance and (2) “reasonable security”
  • Data Breach. The SEC settled with Pearson plc on August 16, 2021, after finding the company made misleading statements and omissions about its 2018 data breach.
    • Proposed rule on Cybersecurity Risk Governance
    • Putting it into practice: Preparedness is key (Incident Response Plans and table tops)

Date & Time:

Tuesday, October 26, 2021

12:00 pm to 1:00 pm (ET)

A recording will be available to view 24-48 hours after the live date.

Materials:

Coming Soon.

Please check back again later.

Who Should Attend:

  • Banking and Finance Lawyers
  • Chief Financial Officers
  • Finance Executives
  • Financial Reporting Officers
  • Finance Analysts
  • CPAs
  • Compliance Managers
  • In-House Counsel
  • Top-Level Executives
ImageNameCategory

SPEAKERS

Derrelle M. JaneyOf Counsel
The Janey Law Firm
Chelsea StaskiewiczAttorney
Sheppard Mullin

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