John Bueker and Dan O’Connor to Speak at Briefing on Hot Trends in SEC and DOJ Enforcement and Litigation 2022 – New England

January 21, 2022

On Tuesday, February 1, 2022, litigation & enforcement partners John Bueker and Dan O’Connor will participate in a virtual briefing on priorities and practices under the new leadership at the SEC and DOJ. The program will feature corporate counsel and advisors, legal experts from top law firms, and government speakers, including Paul G. Levenson (Director of the SEC’s Boston Regional Office) and Stephen E. Frank (Chief of the Securities, Financial & Cyber Fraud Unit for the Massachusetts U.S. Attorney’s Office). 

The half-day program will cover the following topics:

Panel 1: Q&A with SEC & DOJ

  • DOJ/U.S. Attorney's Office, Dist. of Mass priorities and Deputy Attorney General’s speech on corporate criminal investigations and prosecutions
  • Accounting fraud and disclosure fraud cases
  • Cybersecurity and cyber incidents; cyber controls
  • Recent DOJ cyber initiatives
  • SEC cases for failure to disclose, failure to have appropriate controls
  • Cooperation: Will the need to discuss “all” information about “all individuals involved in the misconduct” impact a company’s willingness and ability to cooperate?

Panel 2: SEC Disclosure and Civil Enforcement

  • ESG, cyber disclosure and enforcement
  • Focus on individuals, gatekeepers
  • Corporate governance
  • Virtual currency including cryptocurrency
  • Market manipulation (SPACs, insider trading and 10b 5-1, market structure)
  • Wells process
  • Investment Company Act disclosures and enforcement

Panel 3: DOJ Related Topics

  • Cybersecurity
  • Health care fraud
  • Working with the Government and with other parties
  • What is adequate disclosure?
  • False Claims Act and whistleblowers
  • FCPA post-COVID: cross border corporate accountability
  • Use of DPAs, NPAs
  • What is the role of monitors?
  • Individual vs. corporate liability and accountability
  • Gatekeeper accountability 

Registration is complimentary. Please click here to attend the event.