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Featuring the United States Attorney; Regional Director, SEC; FBI

and Top Legal Experts from Firms, Companies and Advisors

 

Wednesday, April 10, 2024

9:00 AM – 1:00 PM EST 

Holland & Knight Conference Center

701 Brickell Avenue

Miami

 

The Conference offers a complete update on recent developments featuring the views of Government speakers including the U.S. Attorney for the Southern District of Florida; the Regional Director, SEC; FBI and corporate counsel, legal experts from top law firms and advisors.  The agenda reflects the latest topics of interest and how they will affect your SEC and DOJ policies and compliance strategies going forward. 

 

Key issues include:

  • Securities Enforcement – New Priorities and Expectations (corporate disclosures re: cyber breaches, SPACs, financial fraud generally)

  • DOJ: What's New in Corporate Enforcement and Compliance - A Focus on Practical Issues

  • SEC’s New Climate Disclosure Rule issued 3.6.24

  • Enforcement and Regulation of Cryptocurrencies and Other Digital Assets

  • Health Care Fraud Enforcement, Defense, and Corporate Compliance - Where are we today?

  • The Future of Fraud and Bribery Prosecution:  Ciminelli, Percoco, and Varsity Blues

  • The Foreign Corrupt Practices Act: Recent Developments and Government Priorities

  • New DOJ Corporate Crime Whistleblower Initiative

Faculty

From the Government

Other Panelists from Law Firms & Corporate Law Departments, Advisors

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Jacqueline M. Arango

Co-Chair, White Collar Crime and Government Investigations Practice,

Akerman LLP, Miami

 

Maria Beguiristain

Partner, White & Case LLP, 

Miami

Craig Carpenito

Partner, King & Spalding LLP,

New York

 

Stephen L. Cohen

Global Practice Leader, Regulatory and Enforcement Group, Sidley Austin LLP,

Washington, D.C.

 

Wifredo A. Ferrer

Partner, Holland & Knight, Miami

 

Eric Forni

Partner, DLA Piper, Boston

David Friedman

Senior Vice President, General Counsel,

Baptist Health South Florida, Miami

 

Michael E. Hantman

Partner, Holland & Knight LLP, Miami

 

A. Kristina Littman

Partner, Willkie Farr & Gallagher LLP,

Washington, D.C.

 

Peter Resnick

Vice President, Forensic Services,

Charles River Associates, Boston

 

Vanessa Singh Johannes

Shareholder, Carlton Fields, Miami

 

Ryan VanGrack

Managing Director and General Counsel,

Citadel Securities LLC, Washington, D.C.

 

Sheldon T. Zenner

Partner, Katten Muchin Rosenman LLP,

Chicago

Program Highlights--Topics for Discussion

9:00 AM – 1:00 PM EST

Panel 1: SEC & DOJ Corporate Enforcement

  • Public Company Issues: Enforcement and Defense Perspectives

    • SEC’s Enforcement Priorities

    • Financial Disclosure and Accounting Fraud

      • Cybersecurity Regulation and Enforcement

      • Notification

      • Reporting requirements

      • Aggressive enforcement

      • Compliance policies and practices

      • External and internal threats

  • SEC Initiatives: New SEC Climate Disclosure Rule, ESG

  • FCPA

  • Cooperation and Self-Reporting

  • Financial Fraud and SPAC’s

  • DOJ’s Corporate Enforcement Policy, Corporate Crime Whistleblower Initiative, Self Reporting, and Other Initiatives

    • Incentives to self-disclose misconduct

    • What is voluntary self-disclosure?

    • What constitutes remediation?

    • Credit for cooperation.  What are the elements of cooperation?

    • FCPA: Government priorities and new developments

    • DOJ Fraud and bribery prosecution Ciminelli, Percoco, and Varsity Blues

    • Health Care Fraud Enforcement, Defense, and Corporate Compliance

    • Advances in False Claims Act

    • New DOJ Corporate Crime Whistleblower Initiative

 

Panel 2: Fireside Chat with the Government: DOJ & SEC Regulatory and Enforcement Initiatives

  • Featuring the U.S. Attorney for the Southern District of Florida Markenzy Lapointe

  • Eric I. Bustillo, Director, Miami Regional Office, SEC

    • Enforcement Priorities and Highlights

    • SEC Examination Priorities

    • Cooperation, Self-Reporting & Whistleblowers

  • Jeffrey B. Veltri, Special Agent in Charge, FBI, Miami Field Office (Cybersecurity & Crypto Assets)

 

Panel 3: Scrutiny of Regulated Entities

  • Enforcement Priorities

  • Crypto Assets: Intermediaries, DeFi, and NFTs, Exchanges, Recent Cases

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

  • Corporate Transparency Act of 2023 and Recordkeeping

  • Asset Management and Private Equity

  • Off Channel Communications

  • AI is now a priority issue

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