PLI's Enforcement 2022: Perspectives from Government Agencies

Joan McKown, a partner in Jones Day's Securities Litigation & SEC Enforcement Practice, will serve as co-chair, and Mark Rasmussen, a partner in the Firm's Business & Tort Litigation Practice, will lead a panel on cryptocurrencies, at PLI's "Enforcement 2021: Perspectives from Government Agencies" webinar on May 25.

The Biden administration is bringing dramatic changes to our economic, business, and regulatory regimes in general, and in enforcement efforts in particular. This program, now in its eleventh year, brings together panels of senior staff from the various enforcement and regulatory agencies. Over the years these agencies have included the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney's Office, U.S. Department of the Treasury, U.S. Department of Justice, U.S. Department of State, Public Company Accounting Oversight Board, and Consumer Financial Protection Bureau. Moderated by law firm enforcement practitioners, the panels will discuss agency priorities, how the agencies are working together, and offer best practices for working with the government in today's continually changing enforcement environment.

The event agenda includes the following topics:

Enforcement Priorities

• Overview of agency missions and current priorities
• Impact of new administration and changes in personnel
• Hot issues in federal law enforcement
• Cases against individuals
• Remedies
• What is the next new enforcement area?
• Interagency coordination: What, When, Why and How

Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past

• New developments in swaps and derivatives law and regulation
• Update on enforcement trends: manipulation, fraud and false price reporting
• Civil and criminal exposure – industry-wise practices, how to prepare a defense
• Foreign exchange swaps and derivatives

The Cybersecurity Landscape: Working with Law Enforcement

• Working with law enforcement before, during, and after a cybersecurity event
• Whether companies are viewed as victims or violators?
• Disclosure, internal control and governance issues
• Latest case and investigation developments

Cryptocurrencies: The Good, the Bad, and the Ugly

• Overview of guidance from government regulators
• Positive innovations affecting the industry
• No-action letters, regulatory sandboxes, and other tools available for innovation
• Collaboration between government and industry
• Government enforcement actions related to cryptocurrencies
• Agency priorities

Legal and Policy Developments in Enforcement 

• Disgorgement as Equitable Relief – Liu and Kokesh
• Impact of Lorenzo v. SEC
• Willfulness in the era of Robare
• Changes to the Whistleblower Program
• Insider Trading Developments

Ethical Issues that Arise When Working with Government Agencies

• Ethical and other issues involved in whether to take on a joint representation
• Attorney-client privilege issues in joint representations
• Confidentiality and information sharing in joint representations
• Government interactions involving joint representations

REGISTRATION AND CLE CREDITS

For more information, and to register for the event, please visit the PLI website.