North Dakota (ND) Securities CLE Course Catalog

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.

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.

A panel of experts discusses issues such as electronic communications use, cooperation, and managing an investigation. Firms are advised to prepare for upcoming regulatory changes, prioritize implementing quick changes, and focus on staying ahead of industry changes and technology.

Counsel plays a huge role in helping clients avoid SEC lawsuits by addressing business issues, implementing procedures, and being proactive in compliance efforts. In-house counsel and client presence in SEC presentations, remedial efforts, and cooperation can aid in an SEC investigation.

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.