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California (CA) Corporate Compliance CLE Course Catalog

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All CLE Courses For California (CA) Corporate Compliance

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59 minutes
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Behind the Curtain: The Regulator's Perspective for 2024 and Beyond
Step into the regulatory realm as this session will provide an exclusive glimpse into the evolving landscape of legal compliance and unique insights directly from the source. Our distinguished panel of regulators will explore the priorities, trends, and expectations shaping regulatory frameworks for 2024 and beyond.

General Counsel Conference

$65

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18 Credit States

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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
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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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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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43 minutes
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The SEC's Scrutiny of Asset Managers - Key Developments for Broker-Dealers, Private Funds and Hedge Funds
Financial firms are under heightened scrutiny from the SEC, facing investigations and potential penalties for violations related to off-channel communication, recordkeeping and other matters. Expert panelists discuss proactive measures for asset managers and others in cooperating with the SEC to reduce penalties.

Securities Docket

$75

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9 Credit States

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44 minutes
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Issuer Disclosure and Financial Reporting
Cooperation, robust internal controls, and a culture of compliance are key to preventing accounting fraud, as discussed by expert panelists from the SEC and the private sector. Effective communication and cooperation are vital in navigating investigations, empowering gatekeepers, and setting an example for other firms.

Securities Docket

$75

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8 Credit States

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