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

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, Attorney
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.

Agenda:

Eric R. Werner, Associate Regional Director

U.S. Securities & Exchange Commission

 

Chelsea Staskiewicz, Attorney

DLA Piper LLP (US)

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:

Friday, February 04, 2022

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

SPEAKERS

Eric R. WernerAssociate Regional Director
U.S. Securities & Exchange Commission
Chelsea StaskiewiczAttorney
DLA Piper LLP (US)

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