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Illinois CLE Course Catalog

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All CLE Courses For Illinois

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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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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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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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43 minutes
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Managing SEC Matters with Parallel or Joint DOJ Criminal Proceedings
Navigating SEC-related criminal investigations requires very careful consideration. With the increasing frequency of parallel DOJ investigations, panelists discuss how clients should respond to such investigations. Experts discuss latest trends in joint investigations.

Securities Docket

$75

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9 Credit States

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41 minutes
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Insider Trading Enforcement - Key SEC Cases and Prosecutions
A panel of securities law experts, including SEC officials, discusses the latest trends and in insider trading enforcement actions. Discussion of new technological advances, 10b5-1 trading plans, and recent cases. Panelists offer proactive measures and client takeaways.

Securities Docket

$75

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9 Credit States

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