Ohio (OH) Securities CLE Course Catalog

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 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.

As the digital landscape evolves, it is essential for organizations to stay ahead of the curve and effectively address cyber risks to protect sensitive information and maintain regulatory compliance. The SEC has taken a similar approach of trying to protect sensitive information with their broad suite of new cybersecurity rules, including policies and procedures to address cybersecurity risk, written incident response programs, and much more. Our panelists will share insights into the evolving expectations of the SEC, discuss compliance processes that should be implemented and identify best practices to improve incident response and reporting.