Vermont (VT) Securities CLE Course Catalog

The panel emphasizes the need for financial firms, particularly asset managers and broker-dealers, to strengthen their compliance and self-reporting practices in light of increased scrutiny from the SEC and complex regulatory challenges. With the SEC intensifying its enforcement efforts, firms must prioritize accurate trade reporting and maintain robust client information systems to navigate regulatory obligations effectively.

The panel discusses the impact of AI on securities enforcement and regulation, particularly the SEC's intensified focus on misleading claims associated with AI technologies. Recent actions taken against firms that misrepresented AI in their investment services illustrate regulators' commitment to addressing these issues amid a backdrop of rising pressure for companies to integrate AI.

The panel discusses the SEC's heightened focus on rulemaking concerning cybersecurity and ESG (Environmental, Social, and Governance) disclosures under Chairman Gensler. This intensified regulatory environment presents both opportunities and challenges for public companies as they navigate evolving global regulatory trends.

The panel of securities lawyers underscores the heightened priority of insider trading enforcement for both the DOJ and SEC, aiming to deter misconduct across all levels of the market. The DOJ and SEC approach is evolving through the adoption of advanced data analytics, remote work adaptations, and enhanced monitoring of electronic communications, resulting in increased scrutiny and aggressive prosecution of insider trading cases.

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.