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Securities Litigation And Regulatory Practice

25

*Speakers start at 8:45 am.

6

1

0

2.5

Total Hours* Ethics Professionalism Trial Practice

Agenda for Securities Litigation And Regulatory Practice

Presiding:

Olga Greenberg, Program Co-Chair, Eversheds Sutherland (US) LLP

Aaron Lipson, Program Co-Chair, King & Spalding LLP

Paul N. Monnin, Program Co-Chair, Alston & Bird LLP

8:15 AM     REGISTRATION AND CONTINENTAL BREAKFAST

8:45 AM     WELCOME AND PROGRAM OVERVIEW

9:00 AM     CHANGES AND CHALLENGES: THE SEC VIEW FROM THE TOP              

Moderator:  Aaron Lipson

Panelists:

William McLucas, Partner, WilmerHale, Washington D.C.; (former Enforcement Director, U.S. Securities and Exchange Commission, Washington D.C.)

Julie Riewe, Parner, Debevoise & Plimpton, Washington D.C.; (former Co-Chief, Asset Management Unit, Director, U.S. Securities and Exchange Commission, Washington D.C.)

Richard “Dick” Walker, Partner, King & Spalding, New York, NY; (former Enforcement Director, U.S. Securities and Exchange Commission, Washington D.C.)

  • Understanding the Challenges Faced by the Senior Most Leaders of the SEC’s Enforcement Program
  • How Past Changes in the SEC’s Enforcement Program are Likely to Impact the Future
  • Tips for Effective SEC Advocacy at the Highest Level

10:00 AM   BREAK

10:15 AM   INTERNATIONAL ENFORCEMENT/FCPA/WHITE COLLAR DEVELOPMENTS

Moderator:  Paul Monnin

Panelists:

Peter Carter, E.V.P. and Chief Legal Officer & Corporate Secretary, Delta Air Lines, Inc., Atlanta

Sarah Paul, Partner, Eversheds Sutherland (US) LLP (former Assistant US Attorney for the United States Attorney’s Office for the Southern District of New York, New York, NY)

Patrick Stokes, Partner, Gibson Dunn (former Chief, Department of Justice Foreign Corrupt Practices Act (FCPA) Unit, Washington, D.C.)

  • Hallmarks of Effective Compliance Programs
  • Recent DOJ and SEC Policy Pronouncements Regarding Self-Disclosure and Corporate Enforcement
  • Best Practices for Internal Investigations Involving Allegations of International Misconduct

11:30 AM   MEET YOUR LOCAL SEC

Moderator:  Paul Monnin

Panelists:

Rich Best, Regional Director, Atlanta Regional Office, U.S. Securities and Exchange Commission, Atlanta

Justin Jeffries, Associate Regional Director, Atlanta Regional Office, U.S. Securities and Exchange Commission, Atlanta

Donna Esau, Associate Regional Director, Atlanta Region Office, U.S. Securities and Exchange Commission, Atlanta

  • Atlanta Regional Office Enforcement and Exam Priorities
  • Best Practices for Working with the Atlanta Regional Office

12:15 PM    NETWORKING LUNCH

1:00 PM      CORPORATE COMPLIANCE AND TONE AT THE TOP: A CONVERSATION WITH SALLY YATES

Moderators:
Amy Boring, Senior Associate, King & Spalding, Atlanta
Aaron Lipson

Panelist:

Sally Yates, Partner, King & Spalding, Atlanta; (former Deputy Attorney General of the United States, Washington, D.C.)

  • Effective Design, Implementation, and Ongoing Evaluation of Compliance Programs
  • Importance of Ethics and Tone at the Top
  • The Role of Board Leadership in Compliance
  • Crisis Management

 2:00 PM      SECURITIES LITIGATION UPDATE

Panelists:
James “Jamie” E. Connelly, Partner, Womble Bond Dickinson, Atlanta
Cara Peterman, Partner, Alston & Bird, Atlanta

2:30 PM      BREAK

2:45 PM      TABLETOP DATA BREACH EXERCISE

Facilitators:
Olga Greenberg
Matt Gatewood, Partner, Eversheds Sutherland (US) LLP, Washington D.C.
Sarah Paul, Partner, Eversheds Sutherland (US) LLP, New York, NY

  • Interactive “wargame” workshop that covers a realistic cyber attack
  • Best practices and considerations for an effective response strategy
  • Global regulatory implications, crisis communications, and litigation issues

 

4:30 PM      ADJOURN

Seminar Number: 0124102519

Materials for these courses are provided in digital form.
Please download before coming to the venue to avoid wi-fi issues.
Materials may not be available until 48 hours before the seminar.

Space is limited

ICLE cannot guarantee admission to onsite registrants.

*Early registration closes 48 hours before the seminar

Registration Guidelines

See brochure for registration guidelines and agenda.

Note: Meals may not be available for walk in registrants