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California CLE Course Catalog

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All CLE Courses For California

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45 minutes
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Whistleblower Update - The Impact on Corporations and SEC Enforcement
A panel of experts discuss whistleblower actions, whistleblower investigations, and best practices in the event of a whistleblower report. The panel breaks down how companies must prioritize whistleblower protection and compliance with federal securities law to avoid SEC enforcement actions.

Securities Docket

$75

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9 Credit States

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43 minutes
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The Impact of AI on Securities Enforcement, Regulation, Compliance and Practice
AI is greatly impacting securities enforcement, regulation, compliance, and practice, requiring companies and regulators to address associated risks and challenges. This panel discusses the increasing risks and regulations around AI in finance. Experts discuss best practices.

Securities Docket

$75

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9 Credit States

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45 minutes
cc
Managing SEC-Related Criminal Investigations and Prosecutions
This panel discusses the best ways to manage SEC-related criminal investigations and parallel investigations including the DOJ. Challenges include distinguishing between civil and criminal cases, advising clients on criminal involvement, and deciding whether to testify amid investigations.

Securities Docket

$75

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9 Credit States

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45 minutes
cc
Masterclass - Managing a True Corporate Crisis or Major Internal Investigation
Organizations facing corporate crises and must prioritize strong compliance and crisis management plans. This expert panel discuss how to address risks that arise in the event of a crisis, including assessing the severity, establishing clear reporting lines, and controlling communication.

Securities Docket

$75

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10 Credit States

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46 minutes
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Insider Trading 360 - Enforcement Trends, Sweeps, Key Cases and Prosecutions
This expert panel discusses recent trends in SEC and DOJ insider trading cases. Experts discuss the new 10b5-1 plan amendments. The importance of information security and training to prevent insider trading is highlighted, along with challenges in securing evidence for prosecution.

Securities Docket

$75

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9 Credit States

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45 minutes
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Financial Firms in the SEC's Crosshairs - Key Developments
Financial firms such as asset managers, broker-dealers, private funds, and others face scrutiny and fines from the SEC for compliance failures. Expert panelists discuss how financial firms are facing increased scrutiny and large fines from the SEC for compliance failures, particularly concerning communication records and marketing rules.

Securities Docket

$75

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9 Credit States

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45 minutes
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Financial Disclosure and Accounting Fraud
Companies are urged to prioritize timely and comprehensive financial disclosure, cooperation, and rebuilding accounts in cases of accounting fraud to avoid enforcement actions and negative market effects, as discussed by SEC and private sector panelists.

Securities Docket

$75

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8 Credit States

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45 minutes
cc
Cybersecurity, Climate and More - The SEC's Active Rulemaking Agenda and its Impact on Issuers and Regulated Entities
In this course, securities law experts and SEC officials discuss the SEC's new rules to enhance cybersecurity disclosure, enforcement, and governance, requiring companies to report cyber incidents within four days and provide annual reports on governance and risk management.

Securities Docket

$75

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9 Credit States

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46 minutes
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Digital Assets and Cryptocurrency Update - Trends in Regulation and Enforcement
Navigating the regulatory world of digital assets/cryptocurrency is essential for businesses. Expert panelists discuss the SEC's application of existing securities law to crypto, recent cases like Ripple and XRP lawsuit, and the increasing scrutiny on digital asset offerings.

Securities Docket

$75

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8 Credit States

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