New York (NY) Securities CLE Course Catalog

In an increasingly regulated business landscape, it is crucial for organizations to be prepared when regulators come knocking at their doors. 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.

With the rapid pace of change and ever-evolving regulatory landscape, the risk of litigation is even more prominent for businesses today. As litigation exposure continues to be a leading concern for in-house teams, it is more important than ever for legal professionals to understand current litigation trends so they can best adapt to and prepare for future changes. Panelists in this session will provide a comprehensive look at shifts in the litigation environment, and will provide actionable strategies for tackling these complex cases.

A panel of experts discusses the SEC's active rulemaking agenda, emphasizing its impact on cybersecurity, private funds, ESG, SPACs, and other areas. The discussion focuses on deterring and detecting cyber threats, improving communication and visibility for cybersecurity incidents, and adapting to the evolving regulatory landscape.

A panel of experts discusses the heightened scrutiny and enforcement actions by the SEC against financial firms for compliance violations, emphasizing the need for policy and technological adjustments to mitigate risks and avoid penalties.

A panel of experts discusses how AI is transforming securities enforcement, regulation, compliance, and practice, examining the SEC's use of AI, proposed regulations, ethical concerns, and the need for firms to adapt policies and technologies to manage risks and comply with evolving standards.

A panel of leading experts discusses the critical importance of accurate financial disclosure and proactive measures to mitigate accounting fraud risks, emphasizing the increase in SEC enforcement actions, notable cases, and the need for stringent accounting controls.

A panel of leading experts discusses the government's intensified efforts against money laundering and fraud in the digital assets and cryptocurrency space, highlighting significant litigation involving Ripple, Terraform, and Coinbase, and emphasizing the need for regulatory clarity in the crypto industry.

Industry experts discuss the SEC and DOJ’s prioritization of insider trading cases, focusing on individuals and companies handling material non-public information, leveraging data analytics, and emphasizing strong compliance programs to prevent such behavior.

Experts in securities enforcement discuss the SEC's aggressive enforcement stance, focusing on significant trials, virtual and hybrid testimony, gatekeeper and individual liability, compliance sweeps, data analytics, and the impact of the Supreme Court on administrative proceedings.