North Dakota (ND) Securities CLE Course Catalog

Effective corporate crisis management and internal investigations rely on proactive communication, stakeholder engagement, and understanding legal implications, especially in cybersecurity and data privacy. Emphasizing self-reporting and cooperation can mitigate penalties, while thorough internal investigations enhance regulatory perceptions and safeguard attorney-client privilege.

The SEC's enforcement practices are evolving due to Supreme Court rulings, constitutional concerns, and a focus on serious fraud cases, especially in the crypto sector. Recent dismissals signal a strategic shift, while proactive legal challenges increase. The agency emphasizes self-reporting for cooperation credit amid heightened scrutiny.

The cryptocurrency industry faces substantial regulatory challenges, especially from the SEC, regarding the classification of crypto assets and enforcement actions. With over 200 cases initiated, the SEC emphasizes investor protection while navigating complex global regulations. Ongoing legal battles and upcoming elections may influence future policies.

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.