California CLE Course Catalog

The Securities and Exchange Commission (SEC) has proposed an amendment on the recordkeeping requirements for broker-dealers. The new rule asks for the retainment of electronic records in an exclusively non-rewritable and non-erasable format which is also known as write once, read many (WORM). However, the proposal would only apply prospectively, creating burdens for financial organizations in keeping WORM records that have been in existence at the time of the rule adoption.
Listen as experienced financial compliance professionals Robert Moreiro (Practus, LLP) and Debra Jenks (Jenks & Harvey LLP) provide a comprehensive discussion of the recent trends and developments surrounding broker-dealer regulation. Speakers, among other things, will offer practical compliance strategies in this ever-changing regulatory landscape.

The usage and the import of asbestos are facing greater scrutiny today as pressures from several US states continue to emerge along with the call for a tighter regulation on public health risks. While the Environmental Protection Agency (EPA) has issued a final rule prohibiting most asbestos-containing products, some uses are still legal, including asbestos diaphragms, sheet gaskets, and other vehicle friction commodities. Moreover, in a report released by the United States Geological Survey (USGS), around 750 metric tons of raw asbestos was imported in 2018. This is the largest amount imported since 2013 despite the amendments made in the Toxic Substances Control Act (TSCA) as well as other federal laws allowing only a “limited use” of asbestos.
Join experienced asbestos litigators Timothy L. Krippner (Segal McCambridge Singer & Mahoney, Ltd.) and Andrew M. Voss (Greensfelder, Hemker & Gale, P.C.) as they provide a comprehensive discussion on the recent trends and developments surrounding asbestos litigation. Speakers will also offer practical compliance strategies in this rapidly evolving legal climate.

Conversations around generative artificial intelligence are dominating the social stratosphere. By simulating human cognitive thinking, generative AI can produce new types of text, imagery, audio, and synthetic data by using patterns and informational elements obtained from prior works. Because generative AI often relies on pools of data and third-party creations to create new content, there is a concern that generative AI may, whether intentionally or inadvertently, exploit copyright-protected content to develop purportedly original content. Organizations that leverage generative AI tools should be mindful of how the tools are used in a commercial context to mitigate the risk of infringing uses. Likewise, owners of intellectual property should be aware of how their works are used by generative AI models and the users of these tools, and timely action should be taken to defend intellectual property against infringement.

Taking the right stance in today’s society is a challenge for organizations, especially given the current political and social environment. In this session, learn how to navigate important societal issues and understand which policies and procedures should be implemented in order to act as an ethically sound organization. To avoid any reputational damage, it is pertinent for GCs to take the right approach and not waiver on any ethical issues.

As business challenges and responsibilities for in-house grow, learning how to do more with less is even more important than ever. Identifying solutions to set up your small legal team for success requires managing and leveraging your resources effectively. Attend this session to better prepare for the unique challenges small legal departments face, and learn innovative ways to work effectively with a smaller team. Panelists will address how to better leverage the organization and how to best keep up with changing legal and compliance requirements. Leave this session with a better understanding of technology that can help your small legal department prevent potential problems, rather than fighting them after they arise.

As a GC, there is an art to providing value and growth opportunities to your team members without having to give up your own seat. Each employee wants their contributions to be valued and recognized but how do you create that environment? Whether it's establishing shadow programs or offering more ways for your employees to have exposure to senior leadership, join this session as our panelists provide their own experiences and discuss the strategies they've introduced to allow your employees to grow and thrive without compromising their own position.

As Gen Z and Gen Y take center stage in the workforce, organizations must adapt their strategies to effectively motivate, recruit, and retain these dynamic generations. Collaboration and consistent development are top of mind for many Gen Z but what else does your organization need to know to be better prepared for this new generation of talent? Join our panelists as they share the necessary tools and insights required to build a dynamic workplace that is both motivating to existing Gen Z employees but also enticing to the new wave of Gen Y talent.

This session will bring together regulators from various agencies across the governance landscape to discuss major agency updates that could impact your business.

As business challenges and responsibilities for in-house grow, learning how to do more with less is even more important than ever. Identifying solutions to set up your small legal team for success requires managing and leveraging your resources effectively. Attend this session to better prepare for the unique challenges small legal departments face, and learn innovative ways to work effectively with a smaller team. Panelists will address how to better leverage the organization and how to best keep up with changing legal and compliance requirements. Leave this session with a better understanding of technology that can help your small legal department prevent potential problems, rather than fighting them after they arise.