Vermont (VT) Corporate Finance CLE Course Catalog

This expert panel discusses recent trends in SEC and DOJ insider trading cases. Experts discuss the new 10b5-1 plan amendments. The importance of information security and training to prevent insider trading is highlighted, along with challenges in securing evidence for prosecution.

Financial firms such as asset managers, broker-dealers, private funds, and others face scrutiny and fines from the SEC for compliance failures. Expert panelists discuss how financial firms are facing increased scrutiny and large fines from the SEC for compliance failures, particularly concerning communication records and marketing rules.

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.

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.

Cooperation, robust internal controls, and a culture of compliance are key to preventing accounting fraud, as discussed by expert panelists from the SEC and the private sector. Effective communication and cooperation are vital in navigating investigations, empowering gatekeepers, and setting an example for other firms.

As the role of legal in the C Suite continues to evolve, GC's have found themselves in uncharted territories. From understanding financial jargon in legal documents, to being able to interpret financial speak in the boardroom, the roles of CFO & GC have become increasingly intertwined. Join our panel of business law experts as they discuss key insights and answer your burning questions on all things business, finance, and law at the executive level.

Devising and implementing effective anti-money laundering (AML) compliance programs have always been tricky and challenging. Listen as financial crime risks assessment experts Rosie Davitt (Arctic Intelligence) and Beth Berenbaum (ICBC– NYB) offer helpful tips in identifying the best risk assessment solution to boost one’s AML compliance programs, including software solutions.

This panel of lawyers and insolvency professionals with bankruptcy expertise will lead a roundtable discussion regarding investigation of debtors and recovering assets to enhance the value of a bankruptcy estate.

During this session, we will discuss the status of investigations, enforcement, and litigation and whether or not legal departments have been seeing an uptick. Additionally, some of the discussion will focus on permanent changes to the investigations, enforcement, and litigation processes as a result of the pandemic.