Investigations CLE Course Catalog

Join us as experts discuss the SEC’s Whistleblower Program and recent whistleblower awards. Panelists give recommendations on handling whistleblower complaints and rules against retaliation. Discussion of UBS, Activision, and Brinks cases.

Whistleblower activity is on the rise, prompting increased scrutiny and enforcement by the SEC, further encouraging individuals to report, leading to record-breaking awards. Experts discuss how companies should take whistleblower concerns seriously, cooperate with the SEC, and avoid retaliation.

In this featured panel from the annual “Securities Enforcement Forum Central” event, SEC Regional Directors from five different offices stress the significance of cooperation, compliance, and enforcement actions to safeguard investors and tackle industry shortcomings. The Directors discuss their roles, discussing the importance of cooperation and recent SEC priorities.

Expert panelists discuss recent scrutiny on compliance and recordkeeping requirements in Silicon Valley. Despite the benefits of cooperation with regulatory agencies, recent cases indicate that charges and penalties can still ensue, highlighting the importance of thorough compliance strategies.

The contemporary legal landscape is in flux, driven by technological advancements, market volatility, and complex client demands. Steering law firms through this intricate matrix requires a unique blend of leadership traits, ones that embrace innovation, champion resilience, and foster collaboration. This session offers an in-depth exploration into the characteristics of today's law firm leaders and the multifaceted challenges they navigate.

Join our session to explore the world of citizen developers, where subject-matter experts drive AI's potential. Our panelists will discuss their journey to become a citizen developer and will highlight their vital role in AI's era of job disruption to include subjects such as negotiating complex contracts, and supporting sales while pursuing "better", cost effective and efficient solutions.

Short message and collaborative communication tools continue to proliferate across the market and present more and more Information Governance and eDiscovery challenges for organizations to grapple with. Our panelists will discuss their best practices, key considerations for short message data governance, and how they manage it in eDiscovery.

From Ideation to Innovation. Witness how the AAA went from identifying client pain points to building and implementing AI solutions via an innovative and democratic program that jump-started the launch of AI tools to enhance client services. Learn how to build a cross-departmental team that ideates, develops and builds AI solutions centered around solving internal and external client pain points.

Generative AI has taken the world and the legal industry by storm, even though law librarians and information professionals know that other types of AI have already been in use in databases for years. The panelists will review the current state of generative AI in legal research platforms, including candid comments from directors on the front lines of implementation and testing. The directors will share their experiences with some of these tools as well as talking about the overall AI roadmap, and specifically, what short and long term impact they think AI will have on legal research and the legal market generally. Generative AI is certainly a hop topic in 2023 and this program will ensure attendees get a preview of what is ahead for the rest of 2024.