North Dakota (ND) Regulatory Law CLE Course Catalog

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.

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.

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.

The SEC is putting a strong emphasis on safeguarding investors, ensuring transparency, and enforcing regulations within the cryptocurrency market. The Chief of the SEC's Crypto Unit discusses the agency’s priorities related to cryptocurrencies, such as registration, disclosure, legal frameworks, and cybersecurity measures.

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.

Expert panelists discuss recent scrutiny on compliance and recordkeeping requirements in Silicon Valley. Despite the benefits of cooperation with regulatory agencies, recent cases indicate that charges and penalties can still ensue, highlighting the importance of thorough compliance strategies.

A panel of experts discusses the SEC’s new rulemaking agenda relating to special purpose acquisition companies (SPACs), ESG, and cybersecurity breaches. This initiative aims to encourage innovation and provide reliable information for investors and customers.

Listen as experienced economic consultants Simona Mola and Kyla Wethli from Cornerstone Research provide a comprehensive discussion of the latest regulations and enforcement trends concerning executive compensation.

Every business has its own set of unique regulatory challenges, making compliance difficult to implement and sustain for each individual business. Having an effective compliance program is not only a legal obligation for businesses, but it is also absolutely essential for risk mitigation. This session will delve into how to effectively prepare for regulatory and policy changes, and will also cover how to avoid compliance fatigue. Leave with an understanding of how to build a robust compliance program, from standards, policies, and procedures, to investigations and remedial measures that are tailored to your specific organization.