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Programs in Corporate and Securities Law



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Trading in Opaque Markets: False Statements, Materiality and Securities Fraud

Program Number: 2736 Presenter: Thomas O. Gorman, Esq.

The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have brought four cases charging six traders from two major firms with fraud. The actions are all similar, claiming that the traders made multiple misrepresentations when dealing with counter parties in either the residential mortgage-backed securities (RMBS) or commercial mortgage backed securities (CMBS) markets. The misrepresentations are detailed in electronic communications. Two criminal cases have, however, ended largely in acquittals. Yet the government continues. In this program, Tom Gorman critically examines these cases, distilling important lessons for trading houses and their compliance professionals while pointing to a likely area of future focus for the SEC inspection program.

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Securities Issues and the Supreme Court: A Look Back and Ahead

Program Number: 2735 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 **** In the 2016-2017 term, the Supreme Court handed down decisions in cases such as Kokesh and Salman that may well have a far reaching impact on securities litigation and SEC enforcement. This term promises to have additional important decisions. In the October term, the High Court has already agreed to hear cases such as Digital Realty, which will consider a critical issue regarding whistleblowers, and Leidos, regarding whether Section 303 creates an actionable duty to disclose in class actions. Join Tom Gorman as he reviews the key decisions of last term and previews those coming in the term which will start in October 2017.

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Recent Developments in M&A Litigation

Program Number: 2730 Presenter: Evan P. Singer, Esq.

In this program of particular interest to in-house, corporate, securities and transactional counsel and litigators, Jones Day partner Evan P. Singer discusses key cases like Aruba Networks, Trulia, Walgreens and Gordon v. Verizon, as well as recent developments regarding the common interest privilege under New York law.

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Common Pitfalls of Fiduciary Duties of Officers and Directors and How to Avoid Them: Essential Guidance for In-House and Corporate Counsel

Program Number: 2723 Presenter: Megan Lopp Mathias, Esq.

In this important program for in-house and corporate counsel, Megan Mathias covers the scope of fiduciary duties of officers and directors and how to navigate the legal challenges. Topics include: discussion of the various fiduciary responsibilities, avoidance of problematic scenarios, and how to address conflicts when they arise.

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Conducting Effective Witness Interviews: A Guide to Understanding the Legal and Privilege Considerations and Practical Tips and Considerations

Program Number: 2720 Presenter: David Silva, Esq., Evan P. Singer, Esq.

In this program for all in-house and corporate counsel and litigators, Evan Singer and David Silva provide an in-depth discussion of issues to consider when conducting witness interviews for purposes of internal investigations or litigation. Topics include the potential application of attorney-client privilege (such as the Upjohn warning); practical tips and strategies for conducting the interview; and some post-interview considerations and strategies.

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Bitcoin and Blockchain Technology: Legal Issues and Emerging Trends

Program Number: 2707 Presenter: James A. Cox, Esq., Tyson M. Lies, Esq., Mark W. Rasmussen, Esq.

While many people have heard of Bitcoin and other digital currencies, few understand the technology that powers them—the digital ledger system called blockchain. And fewer still appreciate that Fortune 500 companies, governments, and start-ups alike are all racing to develop their own custom blockchain systems to use for their projects, such as capital raising, title tracking, document management, securities trading and settlement, or management of smart contracts, just to name a few. Join our presenters as they explain the fundamentals of blockchain technology and digital currencies, including key legal issues to keep your eye on and emerging trends that are on the horizon.

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Salman v. U.S.: The Supreme Court’s Impact on Insider Trading

Program Number: 2706 Presenter: Thomas O. Gorman, Esq.

In this program covering the impact of the Supreme Court’s decision in Salman v. U.S., the first insider trading case heard by the Court in years, Tom Gorman analyzes the various theories which led to the decision, the positions argued before the Court, and the reaction of the Justices, whose pointers reverberate through the Court’s ultimate opinion. The program also analyzes post–Salman decisions and projects the direction of insider trading enforcement.

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Protecting Your Client’s Company from Negative Impact of Divorce

Program Number: 2654 Presenter: Megan Lopp Mathias, Esq.

Megan Mathias discusses important legal issues and the related documents and provisions for counsel regarding their or their client’s company in the wake of a business partner’s divorce. Topics include: • Premarital agreements • Critical Shareholder Agreement and Operating Agreement Provisions • Other planning strategies

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Recent Amendments to the SEC's Rules of Practice for Administrative Proceedings

Program Number: 2653 Presenter: Thomas R. Cushing, Esq., Mark W. Rasmussen, Esq., Evan P. Singer, Esq.

SEC enforcement actions are, more often than not, brought in the administrative forum. At the same time, critics have argued that the SEC's procedural rules for administrative proceedings are unfair, and some have challenged the constitutionality of the rules in federal courts around the country. In the face of these challenges, the SEC has recently adopted amendments to the SEC's rules of practice for administrative proceedings. Join our presenters for an important discussion about what changes have been made and whether they provide adequate procedural safeguards.

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Trends in New York Attorney General Enforcement: Important Developments for All Corporate and White Collar Attorneys

Program Number: 2651 Presenter: Harold K. Gordon, Esq., Lisa M. Ledbetter, Esq.

As the pace of New York Attorney General (AG) enforcement actions continues to accelerate, what are the trends so far and what patterns are emerging for 2016 and beyond? In this program for all corporate and white collar attorneys and litigators with clients having any business activities in NY, our panelists discuss key enforcement actions against financial, retail and manufacturing businesses located in NY and elsewhere, highlighting the unique authority of the NY AG and its regulatory cousin, the NY Department of Financial Services, and offering practical tips for counsel responding to the such enforcement actions.

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