Annual Securities Litigation & Enforcement 2015 Update: Continuing, Aggressive SEC & DOJ Enforcement Actions

​Please join us for a complimentary, invitation only breakfast and educational meeting on Thursday, April 23, 2015. For companies and their counsel navigating through the front lines promises to be more challenging than ever as the SEC makes more aggressive use of its arsenal of enforcement tools, in court and out. Strategic decisions are complicated by the many changes in tactics by the SEC, its cooperation with state and foreign authorities, the use of administrative proceedings and the growing emphasis on self-disclosure and cooperation.

Topics for Discussion:

  • SEC & DOJ Enforcement and Litigation Trends, Tools and Tactics
  • Form of Corporate Resolution. Corporate and Individual Accountability. Do Corporations Have to Plead Guilty or are NPAs and DPAs still an option? How have they changed? Is Insistence on Individual Accountability Always a Corollary of Corporate Settlement? Extension of DPAs.
  • Administrative Proceedings and Challenges
  • Whistleblower and Qui Tam Issues
  • Accounting and Financial Reporting Fraud Task Force; Revenue Recognition
  • Private Fund Enforcement Actions
  • Insider Trading Update including the Newman Case
  • Waivers and Declinations, Penalties, Settlements and Fees, Growing Subpoena Enforcement
  • False and Misleading Statements; Trading and Markets including High Frequency Trading, Dark Pools
  • Investigations, Examinations and Process Issues including Role of the District Court Judge and Role of State Attorneys’ General
  • Class Action and Derivative Litigation Issues
    • Case Law Update: Latest Supreme Court and District Court Rulings
    • Merger and Acquisition Deal Cases, Role of the Delaware Supreme Court
    • ​Cyber Related Class and Derivative Cases including Privacy Class Actions