Panel 1: Fireside Chat with Joshua S. Levy, Acting U.S. Attorney, District of Massachusetts and Silvestre A. Fontes, Regional Director, Boston Regional Office, SEC

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Panel 2: SEC Regulation and Enforcement

• SEC’s Enforcement and Disclosure Priorities

• Cooperation with DOJ on Enforcement Actions

• Cybersecurity Disclosure and Enforcement

  • Notification

  • Reporting requirements

  • Aggressive enforcement

  • Compliance policies and practices

  • External and internal threats

• Climate Disclosure Rules / Status /ESG

• Clawback Rule / Provisions

• Off-Channel Communications including Message Retention Rules

• Insider Trading Cases and Enforcement Actions

• Update on Cooperation with Companies and Counsel

• AI Regulation Including new Guidance from Global and State Regulators 

• Enforcement and Regulation of Cryptocurrencies and Other Digital Assets: Intermediaries, DeFi, and NFTs, Exchanges, Recent Cases

• Current Litigation Pending; Enforcement Actions Filed

• Asset Management and Private Equity   

• Financial Reporting Trends Update

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Panel 3: DOJ’s Corporate Enforcement Policy, Corporate Crime, Whistleblower Initiative, Self- Disclosure, and Other Priority Issues

• Cooperation with SEC & Other Government Agencies, States

• DOJ Corporate Crime Whistleblower Initiatives

• False Claims Act

  • Healthcare / Pharma fraud enforcement, defense and corporate compliance

  • Cybersecurity

• Off-channel Communication, Including Message Retention Rules

• State of AI Regulation

• Incentives to Self-disclose Misconduct. What is Voluntary Self-Disclosure?  What Constitutes Remediation?

• Credit for Cooperation.  What are the Elements of Cooperation?

• Public Corruption Cases

• FCPA: Government Priorities and New Developments

• DOJ Fraud and Bribery Prosecution Update