Whatever your line of business, the federal government is there. Sooner or later your business will encounter a federal regulatory agency. The key is to be in front of agency initiatives, which is where this Second Annual Dorsey Federal Enforcement Forum will put you.
**NOTE: Watching this recording does not allow the user to obtain CLE, CPD, CPE or HR credits.
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Panel I: The SEC at the Crossroads: Key Trends in SEC Enforcement
This panel explores key trends in the Securities Exchange Commission (“SEC”) enforcement commenting on the recent decision by the Supreme Court to review the Newman personal benefit test and critical issues facing investment advisers. This panel also addresses the SEC’s decision to bring more enforcement actions as administrative proceedings and the series of suits attempting to halt that trend.
Moderator: Thomas O. Gorman, Partner, Dorsey & Whitney LLP and former SEC Enforcement Official
Thomas Quaadman, Senior Vice President, U.S. Chamber Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Paul D. Glenn, Special Counsel, Investment Adviser Association
Genna Garver, Of Counsel, Dorsey & Whitney LLP
Panel II: Current Developments in Energy and Commodities Regulatory Enforcement
As both the Federal Energy Regulatory Commission (“FERC”) and the Commodity Futures Trading Commission (“CFTC”) continue to take aggressive enforcement action against market manipulation, both agencies continue to grapple with questions about their jurisdictional authority in the energy/commodities markets, and what types of activities constitute “manipulation” in these markets. This panel of experts reviews the evolving enforcement positions of both the FERC and CFTC. The panelists focus on the current trends in agency enforcement actions, including the prosecution of spoofing activities, disruptive trading practices, among others. This panel also offers insight into confronting an enforcement action instituted by multiple agencies enforcing manipulation rules in both the energy and commodities markets.
Moderator: Joseph Hall, Partner & Co-Chair of Energy Industry Group, Dorsey & Whitney LLP
Shaun D. Ledgerwood, Principal, The Brattle Group
Nathan B. Ploener, Managing Director, KPMG LLP
Thomas O. Gorman, Partner, Dorsey & Whitney LLP
Panel III: Current Developments in Financial Services Regulatory Enforcement
Given the ever-increasing vigor with which the Consumer Financial Protection Bureau (“CFPB”) and other regulatory agencies have continued to impose remedial measures and penalties on the consumer financial services industry, no industry participant is insulated from scrutiny and possible onerous enforcement actions. This panel of experts reviews the evolving enforcement positions of federal financial institution regulators, with particular emphasis on challenges and strategies to consider when confronting an enforcement action by a federal financial institution regulatory agency.
Moderator: Joseph T. Lynyak III, Partner, Dorsey & Whitney LLP
David J. Kogut, Principal, Charles River Associates
J.H. Jennifer Lee, Partner, Dorsey & Whitney LLP and former CFPB Enforcement Official