Securities Regulation & Enforcement

As Federal and State Regulatory Agencies Ramp Up Enforcement and the Recession Drives an Increase in Securities Litigation It s More Critical Than Ever To Get the Tools You Need to Prevent Problems and Defend Your Client
With stepped-up enforcement and rising private litigation, it s more likely than ever for a financial institution to be the subject of a regulatory investigation or be named as a defendant in private securities litigation. High-profile investigations, arrest, convictions and stories about sweeping crackdowns are all over the news. Not only is it more likely that your client will become a target but as well, the area is becoming increasingly complicated as an array of regulatory agencies pile on with new regulations and new enforcement initiatives.
That s exactly why ACI developed this event to provide a forum where you can get cutting-edge information directly from top securities industry leaders. Information you need to assess and understand your client s potential vulnerabilities so you can take the appropriate steps to protect your client, and defend effectively when your client becomes the target of investigations and litigation.
Attend and get valuable, up-to-the-minute information on:

• Special considerations when evaluating facts and assessing client expectations/interests in parallel proceedings
• Insider trading enforcement and investigations: how has the Galleon matter changed how the SEC is investigating insider trading?
• Trends and enforcement priorities of state regulators: what s in the sightlines now and how can counsel best manage varying state requirements?
• A look at how new legislation would affect various derivatives products and what counsel should be aware of
• Finding the balance between cooperation with the regulator and negotiating a more favorable outcome for the company
• Responding to requests for information and managing investigations where regulated and unregulated entities work together in the same office
• FINRA priorities in the coming year and what counsel should be looking at now to ensure compliance going forward