Securities Enforcement

Publications

Upcoming Events

  • Outsourcing Government Investigations
    31 March 2020
    Federal Bar Council
    Outsourcing Government Investigations
    New York, New York
    Speaker: Lisa Zornberg
    Speaking Engagements

Recent Events

  • Everyone Has Them: Identifying, Disclosing, and Managing Conflicts of Interest Under Your Fiduciary Duty
    5-6 March 2020
    Investment Adviser Association
    IAA Investment Adviser 2020 Compliance Conference
    Washington, DC
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Ethics: Lessons Learned from a Silicon Valley Startup
    29 January 2020
    Securities Regulation Institute
    47th Annual Securities Regulation Institute
    Coronado, California
    Speaker: Arian M. June
    Speaking Engagements
  • Trends in Enforcement and Internal Investigations
    8 January 2020
    Ethics & Compliance Initiative
    Ethics & Compliance Initiative Fellows Conference
    Washington, DC
    Speaker: Arian M. June
    Speaking Engagements
  • DOJ/SEC Enforcement Update
    10 December 2019
    ABA Criminal Justice Section
    ABA CJS Regional Event
    Miami, Florida
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • The Globalization of Enforcement
    2-3 December 2019
    New York City Bar
    International White Collar Crime Symposium
    New York, New York
    Speaking Engagements
  • DOJ/SEC Enforcement Update
    14 November 2019
    ABA and PwC
    ABA CJS Charlotte Event: DOJ/SEC Enforcement Update
    Charlotte, North Carolina
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Rebuttal: The Defense Perspective
    6 November 2019
    Practising Law Institute
    51st Annual Institute on Securities Regulation
    New York, New York
    Speaking Engagements
  • SEC Enforcement
    5 November 2019
    InvestoRegulation
    22nd Annual Conference: SEC Regulation Outside the United States
    London, UK
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Changes and Challenges: The SEC View From the Top
    25 October 2019
    State Bar of Georgia/Business Law Section
    Securities Litigation and Regulatory Practice
    Atlanta, Georgia
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Director's Panel
    23 October 2019
    Securities Docket
    Securities Enforcement Forum 2019
    Washington, DC
    Speaking Engagements
  • Managing a True Corporate Crisis/Major Internal Investigation
    23 October 2019
    Securities Docket
    Securities Enforcement Forum 2019
    Washington, DC
    Speaking Engagements
  • Corporate Compliance
    11 October 2019
    NYU School of Law
    NYU School of Law Program on Corporate Compliance and Enforcement
    New York, New York
    Speaking Engagements
  • Sanctions Enforcement
    3 October 2019
    New York City Bar Association
    NYC Bar Association Banking Law Committee Monthly Meeting
    New York, New York
    Speaker: Lisa Zornberg
    Speaking Engagements
  • Corporate Whistleblowing in 2019
    16 July 2019
    Practising Law Institute
    New York, New York
    Speaker: Arian M. June
    Speaking Engagements
  • Enforcement Issues Today
    23-24 May 2019
    Practising Law Institute
    Seventh Annual Institute on Corporate & Securities Law in Hong Kong
    Hong Kong
    Speaker: Gareth Hughes
    Speaking Engagements
  • Securities and White Collar Defense
    3 May 2019
    Colorado Bar Association
    Denver Rocky Mountain Conference
    Denver, Colorado
    Speaking Engagements
  • Litigation Update – Regulatory and Criminal
    25 March 2019
    Securities Industry and Financial Markets Association
    SIFMA's Annual C&L Seminar
    Orlando, Florida
    Speaking Engagements
  • The SEC’s Focus on Investor Protection: RICs on the Radar of OCIE and Enforcement
    17-20 March 2019
    Investment Company Institute
    ICI 2019 Mutual Funds and Investment Management Conference
    San Diego, California
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Investigations into Listed Companies by Securities Regulators
    26 February 2019
    LexOmnibus
    Seminar
    Hong Kong
    Speaking Engagements
  • The SEC/FDA Nexus: Best Practices for Publicly Traded Life Sciences Companies
    20 February 2019
    Practicing Law Institute
    Practice Briefing
    Speaking Engagements
  • Medical Device Post-Market Cybersecurity – Stakeholder Interactions and the Importance of Advancing Coordinated Vulnerability Disclosure
    7 February 2019
    Practicing Law Institute
    Practice Briefing
    Speaking Engagements
  • Discussion with the SEC’s Newest Enforcement Associate Directors
    12 December 2018
    District of Columbia Bar
    Washington, DC
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Hot Trends in DOJ and SEC Enforcement and Litigation
    5 December 2018
    Sandpiper Partners LLC
    Breakfast and Educational Briefing
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Rebuttal: The Defense Perspective
    7-9 November 2018
    Practising Law Institute
    PLI’s 50th Annual Institute on Securities Regulation
    New York, New York
    Speaking Engagements
  • SFC Investigations and Enforcement Powers under the SFO
    9 November 2018
    Courses and Seminars
    Hong Kong
    Speaker: Mark Johnson
    Speaking Engagements
  • Crisis Management: Keeping Calm and Coming Out the Other Side
    7-9 November 2018
    Practising Law Institute
    PLI’s 50th Annual Institute on Securities Regulation
    New York, New York
    Speaker: Mary Jo White
    Speaking Engagements
  • FCPA Year in Review: Trends and Patterns in Enforcement and Lessons Learned from This Year’s Cases
    8-9 November 2018
    TRACE
    European Forum
    London, UK
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Tips for Corporate/Regulatory Attorneys to Add Value in Regulatory Examinations and Investigations
    23 October 2018
    D.C. Bar
    D.C. Bar CFSL Program
    Washington, D.C.
    Speaker: Julie M. Riewe
    Speaking Engagements
  • SEC Inspections and Examinations of Private Hedge and Equity Funds
    9 October 2018
    Practising Law Institute
    Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Navigating the DOJ Corporate Enforcement Policy
    21-23 May 2018
    Compliance Week
    13th Annual Compliance Week Conference
    Washington, D.C.
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • The IPC Case: A Convergence of Money Laundering and Microcap Fraud
    15 May 2018
    Federal Bureau of Investigation
    Advanced Money Laundering Conference
    Nashville, Tennessee
    Speaker: Winston M. Paes
    Speaking Engagements
  • Fiduciary Investment Advice: Litigation and Enforcement Perspectives
    10 May 2018
    Practising Law Institute
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Securities Litigation: The Investigation: Coordinating Requests from Government Regulators
    4 April 2018
    Practising Law Institute
    New York, New York
    Speaking Engagements
  • Enforcement Panel
    18-21 March 2018
    Securities Industry and Financial Markets Association
    SIFMA C&L Annual Conference 2018
    Orlando, Florida
    Speaker: Mary Jo White
    Speaking Engagements
  • Keynote Address: Government Expectations for Third Party Compliance Programs
    20 March 2018
    Compliance Week
    3rd Annual Third-Party Risk Management & Oversight Summit
    Atlanta, Georgia
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • DOJ & SEC Q&A: Enforcement Priorities, Impact of New Guidance and Takeaways from Recent Cases
    8 March 2018
    TRACE International
    14th Annual TRACE Forum
    Washington, DC
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • What’s New? OCIE and Enforcement under Chairman Clayton
    7 December 2017
    Investment Company Institute
    2017 Securities Law Procedures Conference
    Washington, D.C.
    Speaker: Julie M. Riewe
    Speaking Engagements
  • The Defense Perspective: The Many Shades of Gray
    10 November 2017
    Practising Law Institute
    New York, New York
    Speaking Engagements
  • Keynote Address
    10 November 2017
    Practising Law Institute
    New York, New York
    Speaker: Mary Jo White
    Speaking Engagements
  • Crisis Management: The Advanced Course
    10 November 2017
    Practising Law Institute
    New York, New York
    Speaker: Mary Jo White
    Speaking Engagements
  • A Look Inside Recent FCPA & UKBA Key Enforcement Cases and Practical Lessons for Your Global Anti-Corruption Programme
    6 November 2017
    C5
    Advanced Conference on Anti-Corruption – The Nordic Edition
    Stockholm, Sweden
    Speaker: Karolos Seeger
    Speaking Engagements
  • Current Issues in Wealth Management & Investment Advisory
    11 November 2017
    Securities Industry and Financial Markets Association
    Compliance & Legal New York Regional Seminar
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Keynote Speaker
    25 October 2017
    ACA Compliance Group
    Fall 2017 Compliance Conference
    San Diego, California
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Former SEC Leadership to Discuss SEC Enforcement Priorities
    20 October 2017
    Debevoise & Plimpton LLP
    Seminar
    Debevoise & Plimpton, Hong Kong
    Speaking Engagements
  • Former SEC Leadership to Discuss SEC Enforcement Priorities
    18 October 2017
    Debevoise & Plimpton and Deloitte Touche Tohmatsu LLC
    Roundtable Discussion
    Tokyo, Japan
    Speaking Engagements
  • Emerging Enforcement Trends and Other Topics
    13 September 2017
    PricewaterhouseCoopers LLP
    PwC Executive Briefing on Regulatory Enforcement: What We Can Learn From the First 180 Days About the Direction of the New Administration
    New York, New York
    Speaking Engagements
  • Panel: Breakfast Briefing
    13 June 2017
    Sandpiper Partners LLC
    Annual SEC/DOJ Enforcement 2017 Update
    Washington, D.C.
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Common Compliance Issues and Effective Programs
    23 May 2017
    Compliance Week
    Compliance Week Annual Conference 2017
    Washington, D.C.
    Speaker: Kara Brockmeyer
    Speaking Engagements
  • Regulatory Focus on Risk Management
    20 April 2017
    RMA and Debevoise & Plimpton
    Debevoise & Plimpton LLP, New York
    Speaking Engagements
  • Securities Litigation: The Investigation: Coordinating Requests from Government Regulators
    5 April 2017
    Practising Law Institute
    Securities Litigation 2017: From Investigation to Trial
    New York, New York
    Speaking Engagements
  • Internal Investigations: A Simulation
    19-22 March 2017
    Securities Industry and Financial Markets Association
    2017 SIFMA Compliance & Legal Society Annual Seminar
    San Diego, California
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Managing Multiple Regulatory Investigations and Parallel, Private Securities Litigation: An In-House Perspective
    1 March 2017
    New York City Bar
    5th Annual Securities Litigation & Enforcement Institute
    New York, New York
    Speaking Engagements
  • Insider Trading Enforcement in the Wake of Salman
    20 December 2016
    NYU Law School
    NYU Law School Program on Corporate Compliance and Enforcement Conference
    New York, New York
    Speaker: Winston M. Paes
    Speaking Engagements
  • Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
    1 December 2016
    Practising Law Institute
    Hedge and Private Fund Enforcement & Regulatory Developments 2016
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Policing the Markets: Updates on Securities Investigations and Enforcement
    30 September 2016
    Practising Law Institute (PLI)
    Practising Law Institute: Prosecutors and Regulators Speak
    New York, New York
    Speaker: Winston M. Paes
    Speaking Engagements
  • Targeting the ‘Gatekeepers’: Emerging Challenges for Financial Industry Legal and Compliance Professionals
    15 September 2016
    Global Investigations Review
    3rd Annual GIR Live New York
    New York, New York
    Speaking Engagements
  • Current SEC Enforcement and Examination Trends
    4 August 2016
    Financial Law Institute
    2016 Lavender Law Conference & Career Fair
    Washington, DC
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Litigation and Enforcement
    20 July 2016
    Independent Directors Council
    2016 Independent Counsel Roundtable
    Washington, D.C.
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Preparing for Investigations & Enforcement
    9 June 2016
    Bloomberg BNA
    Bloomberg BNA Big Law Business Summit
    New York, NY
    Speaker: Winston M. Paes
    Speaking Engagements
  • Convergence Trends – From the Regulatory, Enforcement & Industry Perspective
    2 June 2016
    Sandpiper Partners
    Financial Crime Summit
    New York, NY
    Speaker: Winston M. Paes
    Speaking Engagements
  • Prosecutors Panel: Lifecycle of a Parallel Matter
    31 May 2016
    Securities and Exchange Commission
    SEC’s Market Abuse Unit Conference
    Washington, D.C.
    Speaker: Winston M. Paes
    Speaking Engagements
  • Insights into the SEC
    11 May 2016
    The Regulatory Fundamentals Group
    RFG Webinar with Julie Riewe
    New York, New York
    Speaker: Julie M. Riewe
    Speaking Engagements
  • Emerging SEC Enforcement and Exam Issues: What's Next for Private Equity?
    13 Apr 2016
    Debevoise & Plimpton
    Debevoise Seminar
    Debevoise & Plimpton, New York
    Speaking Engagements
  • Enforcement Actions by Banking Regulators
    16 March 2016
    Securities Industry and Financial Markets Association
    2016 Annual Legal and Compliance Conference
    Orlando, Florida
    Speaking Engagements
  • SFC Investigations and Enforcement Power under the SFO
    22 January 2016
    Courses & Seminars
    Seminar
    Hong Kong
    Speaker: Mark Johnson
    Speaking Engagements
  • SFC Investigations and Enforcement Powers under the SFO
    24 November 2015
    HKCCA & Debevoise & Plimpton
    SFC Investigations and Enforcement Powers under the SFO
    Hong Kong
    Speaker: Mark Johnson
    Speaking Engagements
  • Handling Global Regulatory Investigations
    16 October 2015
    New York City Bar Association
    New York City Bar 4th Annual Securities Litigation & Enforcement Institute
    New York, NY
    Speaking Engagements
  • Keynote Speaker on White Collar Enforcement Issues
    9 October 2015
    The Columbia Law School Federalist Society for Law & Public Policy Studies
    The Columbia Law School Federalist Society Fall Symposium: Government Enforcement in the Financial Sector
    New York, New York
    Speaking Engagements
  • Newman, High Frequency Trading - What Exactly are the Limits of Securities Fraud?
    1 October 2015
    American Bar Association
    10th Annual National Institute on Securities Fraud
    New Orleans, Louisiana
    Speaking Engagements
  • Location, Location, Location
    22 September 2015
    Global Investigations Review
    GIR Fall New York Conference
    New York, NY
    Speaking Engagements
  • Fundamentals of Investment Adviser Regulation 2015
    15 July 2015
    Practising Law Institute
    Fundamentals of Investment Adviser Regulation 2015
    New York, NY
    Speaking Engagements
  • Cyber Security
    2 June 2015
    Hong Kong Securities and Investment Institute
    Cyber Security
    Hong Kong
    Speaker: Mark Johnson
    Speaking Engagements
  • The Future of the 'Neither Admit Nor Deny' Settlement Policy in the Wake of the Citigroup Decision
    22-23 January 2015
    American Conference Institute
    American Conference Institute 4th Securities Litigation & Enforcement Conference
    The Carlton Hotel, New York, NY
    Speaking Engagements