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Programs in Regulatory and Administrative Law



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Recent Trends in the SEC Whistleblower Program and Tips for Addressing Whistleblower Complaints

Program Number: 2811 Presenter: Elaine Drodge Koch, Esq., Jennifer Kies Mammen, Esq., Mark A. Srere, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** In this program of particular interest to in-house lawyers and litigators at public companies, our presenters address the SEC’s Dodd-Frank Whistleblower Program and recent trends in whistleblower actions, and offer practical tips for compliance programs and policies to address and mitigate whistleblower complaints.

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SEC Enforcement 2018: New Directions and Challenges

Program Number: 2810 Presenter: Thomas O. Gorman, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Tom Gorman examines the new direction laid out for the SEC’s Enforcement Program by Chairman Clayton, trends emerging as the new year begins and significant challenges the Division will face. Emerging trends include the declining number of actions being brought along with a continuing drop in those cooperating with the SEC. Key issues the Division will face include forum selection and the use of ALJs, the impact of the Supreme Court’s decision in Kokesh holding disgorgement to be a penalty, the upcoming decision of the Court in Digital Realty on whistleblowers, and the impact of Martoma on insider trading.

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Common Post-Acquisition Disputes and How to Avoid Them: Practical Guidance for In-House and Corporate Attorneys

Program Number: 2808 Presenter: Jasmine Coo, Michael Thompson, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Mergers, acquisitions, and asset sales often have many moving parts that require clients to engage subject matter experts to review both proposed terms and due diligence on a host of topics from environmental matters to tax and employment matters. But what about the rest of the contract? Often issues arise post-closing that were not fully anticipated during the transaction. The culprits are usually boilerplate terms (such as arbitration, choice of law, force majeure, and integration clauses) and terms designed to mitigate future risk (such as earn outs and indemnities). In this program, Michael Thompson and Jasmine Coo take you through the contract terms that are most commonly disputed after the closing of a merger, acquisition, or asset sale and provide tips to help you avoid expense and heartache

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Not #metoo: Sexual Harassment and How to Prevent Being the Latest Headline

Program Number: 2805 Presenter: Donald L. Samuels, Esq.

The headlines have been full of claims of sexual harassment and sexual assault. In this time of heightened interest and scrutiny regarding this topic, Don Samuels discusses what is sexual harassment and sexual assault; who is responsible for it; what are the legal liabilities and the costs, both economic and non-economic; and best practices for recognizing, addressing and preventing sexual harassment. A must program for all attorneys, particularly in-house counsel and litigators, about the legal issues surrounding sexual harassment and misconduct in the workplace.

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How to Investigate #metoo Claims: A Nuts and Bolts Guide for In-House Employment and Corporate Counsel

Program Number: 2804 Presenter: Ann Kotlarski, Esq., Judicate West

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Sexual harassment and sexual misconduct in the workplace are high profile issues for all attorneys and conducting prompt and thorough investigations into a “#metoo” claim is essential. Join Ann Kotlarski, who provides a nuts and bolts discussion for conducting proper investigations that can convince a jury (and your client’s other employees) that you have done the right thing, including: determining what to investigate; formulating an investigation plan; conducting interviews; assessing witness credibility; documenting the process; making recommendations; remediating wrongdoing; minimizing the likelihood of retaliation claims and avoiding similar claims in the future.

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2017 Post-Acquisition Dispute Round-Up

Program Number: 2750 Presenter: Jasmine Coo, Michael Thompson, Esq.

The best away to learn how to avoid pitfalls after a merger, acquisition, or asset sale is to analyze which disputes have arisen recently. Michael Thompson and Jasmine Coo discuss the big ticket post-acquisition disputes that arose in 2017 and offer tips on how you can avoid them.

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Key Legal Issues in the Internet of Things

Program Number: 2749IP Presenter: Brian A. Jones, Esq., Amol Parikh, Esq.

Internet of Things (IoT), including artificial intelligence and robotics, have now entered the mainstream social narrative. However, the proliferation of this exciting and transformative technology raises a wide range of legal issues. This presentation focuses on the key legal issues surrounding the Internet of Things, including data ownership and privacy, security, intellectual property, and product liability, as well as ethical implications of the use of such technology.

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Blockchain Technology and Digital Currencies: Key Legal Issues for the Financial Industry

Program Number: 2747 Presenter: David Andrew Kern, Esq., Mark W. Rasmussen, Esq.

Business of all sizes, from start-ups to Fortune 500 companies, are quickly seeing the benefits of Blockchain technology and digital currencies and are putting them to use. This is especially true for companies in the financial sector which are deploying these technologies to help with everything from capital raising to securities trading to asset tracking. At the same time, lawmakers and regulators have their eyes on the benefits and risks associated with these emerging technologies and are adopting new laws and regulatory guidance both to facilitate their use and to protect the public. Join Mark Rasmussen and David Kern as they explain the fundamentals of Blockchain technology and digital currencies, describe how they are being utilized in the financial industry, and discuss key legal issues for all companies.

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What In-House, Corporate and Securities Counsel Should Know about System and Organization Controls (SOC) Reports and their Applicability to Reporting on Internal Controls

Program Number: 2743 Presenter: Michael Pinna, CPA

In today’s world, almost every type of public or private company needs to assess its internal control environment. This is especially true of public and SEC registered companies which are required to report on their internal control environments in their annual reports and filings. With technological, cybersecurity and other issues that have arisen, System and Organization Controls (SOC) Reports necessarily have become the standard for assessing internal controls as the reporting has become more complex. This program provides a brief history of the SOC reporting landscape; an understanding of the types of SOC reporting (i.e., SOC 1, SOC 2, SOC 3, and the new SOC for Cybersecurity) and their reporting structures and coverages; and an overview of recent changes to the SOC standards.

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What Attorneys Should Know about Advising Boards and Management on How to Avoid Struggles When it Comes to Data Breaches

Program Number: 2742 Presenter: David A. Zetoony, Esq.

Boards and senior management often look to attorneys to advise them when a data breach arises. Providing sound and practical legal advice can be complicated if management has not gone through a data breach before, and does not understand the legal implications of the choices that they may make. This program focuses on how attorneys can explain the legal implications of a data breach in order to help management make decisions, either before or after a breach occurs, concerning how the company can position itself.

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