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4 Government Officials on Faculty

U.S. Attorney’s Office, S.D.N.Y.; OFAC, U.S. Treasury; FBI;

and Bureau of Industry and Security (BIS), U.S. Department of Commerce



Hear directly from the senior government officials responsible for the current heightened levels of SEC and DOJ enforcement activity aimed at large financial institutions, corporate issuers, and crypto asset intermediaries.  Private practitioners and their in-house counterparts will discuss navigating the recent focus on financial disclosures and accounting fraud, including those relating to ESG and cyber security.  Our experts will also share insights on preparing for increased scrutiny of institutional compliance efforts by investment advisers and broker-dealers.  In addition, our panelists will address best practices for litigated matters, as well as strategies for navigating the rising expectations by enforcement authorities for cooperation and self-disclosure. 


From the Government


Other Panelists from Law Firms & Corporate Law Departments, Advisors

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Program Highlights

9:00 a.m. – 1:30 p.m.  EST



   I. Public Company Issues: Enforcement, Defense and Company Perspectives 

  • Enforcement Priorities

  • Financial Disclosures and Accounting Fraud

  • Cybersecurity Regulation and Enforcement

  • ESG

  • FCPA

  • Cooperation and Self-Reporting


  II. Fireside Chat with Gurbir Grewal, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Washington, D.C.


  III. Scrutiny on Regulated Entities

  • Enforcement Priorities

  • Crypto Assets: Intermediaries, DeFi, and NFTs

  • Insider Trading, Block Trading and 10b 5-1

  • Asset Management and Private Equity

  • Recordkeeping

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