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Securities Litigation

26


October 26, 2018

8:15am - 4:30pm

The Westin Buckhead - Atlanta

CLE Hours

6 CLE Hours with 1 Ethics Hour, 1.5 Professionalism Hours and 3 Trial Practice Hours.

// 1.5 3

Seminar Number 10051

Registration Options

$295 Early*
$370 On-Site

Space is limited

ICLE cannot guarantee admission to on-site registrants.

*Early registration closes 48 hours before the seminar


26th ANNUAL SECURITIES LITIGATION AND REGULATORY PRACTICE

Westin Buckhead

October 26, 2018

Co-sponsored by the Business Law Section of the State Bar of Georgia

Presiding: Walter Jospin, Program Co-Chair, Finch McCranie, LLP, Atlanta

Paul N. Monnin, Program Co-Chair, Alston & Bird LLP, Atlanta
Scott Sorrels, Program Co-Chair, Eversheds Sutherland (US) LLP, Atlanta

8:15 REGISTRATION

9:00 WELCOME AND PROGRAM OVERVIEW

9:15 ENFORCEMENT PRIORITIES from the SEC PERSPECTIVE - A CONVERSATION WITH THE CO-DIRECTOR OF THE SEC'S DIVISION OF ENFORCEMENT

Moderator: Walter Jospin

Panelists:

Steven Peikin, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission, Washington

Richard Best, Regional Director, Atlanta Regional Office, U.S. Securities and Exchange Commission

10:00 Break

10:15 ENFORCEMENT and WHITE COLLAR DEVELOPMENTS

Moderator: Walter Jospin

Panelists:

David Woodcock, Partner, Jones Day, Dallas, Texas; (former Regional Director, SEC, Ft. Worth)

Aaron Lipson, Associate Regional Director, Enforcement, Atlanta Regional Office, U.S. Securities and Exchange Commission

Matthew C. Solomon, Partner, Cleary Gottlieb, Washington; (former SEC Chief Litigation Counsel)

Michael A. Sullivan, Partner, Finch McCranie, LLP, Atlanta

  • SEC and DOJ self-disclosure and cooperation programs
  • Retail Strategy Focus Initiatives
  • Pursuit of culpable individuals, advisors and gatekeepers
  • Whistleblower issues, including award to government employees
  • Professionalism - the continuing tensions for corporate and individual counsel
  • Wells submissions and settlements
  • Best practices in dealing with the Commission Staff

11:15 UPDATE ON CYBER AND THE EVOLUTION AND ENFORCEMENT REGARDING NEW FINANCIAL PRODUCTS - Crypto offers, ICOs, Blockchain

Moderator: Paul N. Monnin

Panelists:

John A. Horn, Partner, King & Spalding (former U.S. Attorney, NDGA)

Doug Gilfillan, Chief, Cybercrime & Intellectual Property Section, United States Attorney's Office, NDGA, Atlanta

Johnny Lee, Principal & National Practice Leader, Forensic Technology Services, Grant Thornton (US) LLP, Atlanta

12:00 LUNCH with KEYNOTE PRESENTATION (CURRENT INITIATIVES OF THE SEC)

Speaker: Hon. Hester M. Peirce,

Commissioner, United States Securities and Exchange Commission

1:30 COMPLIANCE, ENFORCEMENT PLANNING AND RISK ASSESSMENT for REGULATED ENTITIES

Moderator: Paul N. Monnin

Panelists:

Peter Driscoll, Director, Office of Compliance Inspections and Examinations (OCIE), U.S. Securities and Exchange Commission, Washington

Jamila Abston, CPA, Partner, Ernst & Young, New York (former Assistant Director, SEC, OCIE)

Donna Esau, Associate Regional Director SEC, OCIE, Atlanta

- Examination Priorities and Risk of Enforcement Actions for Financial Industry Registrants, including:

  • OCIE priorities
  • Share Class Selection Disclosure Enforcement Initiative
  • Affiliate compensation
  • Conflicts and conflicts disclosures
  • Material Non-Public Information and Insider Trading
  • Share Class Diligence and Expenses
  • Best practices in handling exams and deficiency letters

2:30 Break

2:45 VIEWPOINTS from the GENERAL COUNSEL'S OFFICE

Moderator: Olga Greenberg, Partner, Eversheds-Sutherland (US) LLP, Atlanta

Panelists:

Alexis Ginn, EVP and General Counsel, Primerica, Atlanta

Ellen M. Fitzsimmons, EVP and General Counsel, SunTrust Banks, Atlanta

Caroline K. Hall, Associate General Counsel, SVP, Managing Attorney of Regulatory and Investigations, Raymond James Financial, Inc., St. Petersburg, FL.

3:30 LITIGATION SURVEY

Moderator: Scott Sorrels

Panelists:

Jamie E. Connelly , Partner, Womble Bond Dickinson (US) LLP, Atlanta

Cara Peterman, Partner, Alston & Bird, LLP, Atlanta

James B. Manley, Partner, Troutman Sanders LLP, Atlanta

Yvonne Williams-Wass , Counsel, Eversheds Sutherland (US) LLP, Atlanta

  • Disgorgement and Limitation Periods - Kokesh
  • Continued evolution of the Business Judgment Rule in Georgia
  • Continued evolution of Supreme Court and Circuit authority regarding insider trading
  • Lucia and the Role of ALJs

4:30 ADJOURN


Please contact Jared Haralson, ICLE Assistant Director of Operations at (678) 529-6673 (jaredh@gabar.org) for Sponsorship and Exhibitor opportunities for this event.

See brochure for Registration Guidelines.


View the Brochure