PLAY RECORDING

Broadcast Date: Monday, April 04, 2022
from 12:00 pm to 1:30 pm (ET)

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:

1.5 CLE

Speaker Panel:

Eric R. Werner, Associate Regional Director
U.S. Securities & Exchange Commission

Eric Werner is the Associate Director of the Securities and Exchange Commission’s Fort Worth Regional Office, where he heads the agency’s enforcement activities in Texas, Oklahoma, Arkansas, and Kansas. Prior to his appointment as Associate, Mr. Werner worked at the SEC as a staff attorney conducting investigations and in the Office of Chief Counsel, and in supervisory positions as Branch Chief and Assistant Director where he was a member of the Complex Financial Instruments Unit and the Public Finance Abuse Unit. Mr. Werner has worked on matters involving virtually every aspect of the securities markets, including financial fraud, hedge funds, insider trading, market manipulation, municipal securities, offering fraud, broker-dealers, and investment advisers. Mr. Werner earned his law degree from the Washington University School of Law and his undergraduate degree from Occidental College.

Chelsea Staskiewicz, Associate
DLA Piper LLP (US)

Chelsea focuses her practice on helping businesses of all industry sectors develop meaningful privacy and security compliance programs. Chelsea provides legal and compliance advice on all aspects of information governance, privacy compliance, cyber incident response, cyber due diligence for corporate transactions, and vendor management.

As a Certified Information Privacy Professional (CIPP/US), Chelsea assists clients on state, federal, and international privacy laws and regulations, including the California Consumer Privacy Act (CCPA), the Gramm–Leach–Bliley Act (GLBA), and Federal Trade Commission Act (FTC).

Chelsea has experience advising public company clients on cybersecurity issues. While in law school Chelsea was selected for the US Securities and Exchange Commission’s Honours Intern Program and clerked for the Cyber Unit in the Division of Enforcement.

Chelsea also advises clients on eDiscovery matters. Chelsea previously served as a Judicial Extern for the US District Court for the Southern District of California where she assisted on a variety of complex eDiscovery disputes.

Shaun Clarke, Partner
Smyser Kaplan & Veselka, L.L.P.

Shaun Clarke tries civil and criminal cases. Recently, he negotiated the dismissal of all charges against a client who was indicted in the “Varsity Blues” college admissions case.  At the same time, he served as a key member of the trial team for a major pharmaceutical distributor in the opioids multi-district litigation. Previously he obtained “Not Guilty” verdicts on behalf of one client who was charged with insider trading and another who was the BP employee charged with causing the Deepwater Horizon oil spill.

Mr. Clarke has been selected as one of The Best Lawyers in America in Commercial Litigation, White Collar Defense and General Criminal Defense. Described by Chambers USA as a “master in handling government investigations on behalf of a nationwide clientele,” he honed his trial skills as a San Francisco Deputy City Attorney and an Assistant United States Attorney in New Orleans. He has successfully represented individual and corporate clients in SEC and other government investigations as well as at every level of both the civil and criminal court systems.

Agenda:

SEGMENT 1:

Eric R. Werner, Associate Regional Director

U.S. Securities & Exchange Commission

  1. SEC Enforcement Priorities
    • Crypto and Digital Asset Securities
    • Issuer Disclosures
    •  SPACs
    • Use of Data Analytics in SEC investigations
    • ESG
    • 10b5-1 Trading Plans
    • Cybersecurity
    •  Reg BI
    • Whistleblowers
  2. Recent SEC Case Filings
  3. Lifecycle of an SEC investigation
    • Cooperation
    • Wells Process
    • Admissions
    •  Disgorgement/Civil Penalties

SEGMENT 2:

Chelsea Staskiewicz, Associate

DLA Piper LLP (US)

  1. New Proposed Rules for Cyber
    • Breaking down the new proposed rule
  2. Lessons learned from recent enforcement focused on cybersecurity
  3. Putting it into practice – Cyber Tips and Tricks

SEGMENT 3:

Shaun Clarke, Partner

Smyser Kaplan & Veselka, L.L.P.

  1. What to do when facing an SEC investigation? For the institutional client and how it differs for an individual.

Materials:

Download Course Materials

Who Should Attend:

  • Securities Attorneys
  • Corporate Lawyers
  • Compliance Officers/Executives
  • General Counsel
  • In-house Counsel
  • Top Level Executives

SPEAKERS

Eric R. WernerAssociate Regional Director
U.S. Securities & Exchange Commission
Chelsea StaskiewiczAssociate
DLA Piper LLP (US)
Shaun ClarkePartner
Smyser Kaplan & Veselka, L.L.P.

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