Celesq® Attorneys Ed Center
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Programs in Banking & Finance Law

Programs are available online to all firms wishing to assist their attorneys in obtaining their CLE credits. Please email customer.care@celesq.com to obtain a coupon code for your firm. Once an attorney has completed a program, your firm will be billed $30 each for the cost of each certificate which will be issued as a download once the attorney has completed the affirmation for the particular program. CDs will be available for all programs upon request. Please email customer.care@celesq.com to purchase CDs for any course. Cost will be $95.00 per CD, plus shipping and handling.

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Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice Notes (01/14/2021)

Program Number: 3103 Presenter: Jay A. Dubow, Esq., Mary Grace W. Metcalfe, Esq., Ghillaine A. Reid, Esq.

Challenging an ongoing investigation by the SEC is a daunting task, particularly for those identified as subjects of the investigation. Two recent holdings, one by the Third Circuit in Gentile v. Sec. & Exch. Comm’n, 2020 WL 5416297 (3d Cir. Sept. 10, 2020) and the other by the United States District Court for the District of New Jersey in Sec. & Exch. Comm’n v. Gentile, 16-cv-01619-BRM-JAD (Order Sept. 29, 2020), both of which involved the same parties, offer some clarification on when and how best to mount such a challenge. The Third Circuit’s opinion makes clear that the SEC’s ability to investigate is one of the “rare circumstances” in which an agency’s action is exempt from the waiver of sovereign immunity that might otherwise apply under the Administrative Procedure Act and, as a result, is not subject to judicial review. By contrast, the district court’s opinion reinforces that, once an investigation

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IRS Summons and Other Methods of Obtaining Taxpayer Information, Enforcement, and Defenses (05/21/2020)

Program Number: 3091 Presenter: Megan Brackney, Esq.

The IRS has several methods for obtaining information about taxpayers. This program will discuss the IRS’s methods of obtaining information, focusing primarily on the IRS’s summons authority, including the scope that authority, taxpayer’s rights and privileges, summons enforcement litigation, and the attorney’s ethical obligations when responding to IRS requests for information under Circular 230. Learning Objectives: 1. Understand the methods that the IRS uses to gather information from and about taxpayers. 2. Discuss the methods of enforcement of IRS summons and defenses to enforcement. 3. Examine the potential defenses and privileges that may limit the IRS’s ability to obtain information. 4. Understand the lawyer’s ethical obligations when responding to an IRS request for information.

$95.00Online Audio Add to Cart

CFIUS and Foreign Investment in the United States: Navigating a New Regulatory Regime (05/06/2020)

Program Number: 3089 Presenter: Tyler Grove, Esq., Sydney Stringer, Esq.

Since the 1980s, the Committee on Foreign Investment in the United States (CFIUS) has had the power to review and block certain transactions by foreign parties in the United States that have raised “national security” concerns. Since the Foreign Investment Risk Review Modernization Act (FIRRMA) became law in August 2018, and new regulations implementing FIRRMA became effective in February 2020, the scope CFIUS’s jurisdiction has broadened dramatically, and CFIUS has increasingly used this jurisdiction to block proposed investments and even require divestment of consummated transactions. This presentation will provide an overview of the new regulations applicable to foreign investment review; summarize recent enforcement actions and trends; and provide practical guidance for navigating this complex regulatory environment.

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Discerning Derivative Claims – From Madoff to TelexFree (11/18/2020)

Program Number: 3086 Presenter: Evan T. Miller, Esq., Shane G. Ramsey, Esq.

This program will address the common problem of competing claims of creditors and bankruptcy trustees in ponzi scheme litigation. The program will give provide practice pointers and guidance to attorneys representing individual creditors and bankruptcy trustees and will offer best practices on how to navigate the issues presented in such ligation.

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The Law of Insider Trading: Why It Is Such a Mess (05/05/2020)

Program Number: 3085 Presenter: Tai H. Park, Esq.

This program will explain the principles of the insider trading law under Section 10(b) of the Securities Exchange Act and describe why it has proven to be so difficult to apply consistently. In recent years, the underlying, conceptual problem in the law was highlighted when judges of the Second Circuit sharply disagreed with each other in two high profile cases. In U.S. v. Newman, a unanimous panel reversed the conviction after trial of two hedge fund portfolio managers, declaring that their alleged insider trading conduct was in fact not illegal. Just a few years later, in U.S. v. Martoma, a different panel of Second Circuit judges affirmed the conviction of another portfolio manager as it disagreed with the thrust of the Newman opinion. A dissenting judge in Martoma wrote a vigorous dissent accusing the majority of flatly contradicting Newman. This split remains unresolved. In a new Second Circuit

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Practical and Procedural Considerations for Domestication of Sister-State and Foreign Judgments in New York (06/25/2020)

Program Number: 3083 Presenter: Jason S. Giaimo, Esq., Chester Ostrowski, Esq.

As the name suggests, this continuing legal education program provides practical and procedural considerations for domestication of sister-state and foreign judgments in New York. The program focuses on both sister-state judgments entered after the defendant’s appearance, as well as those judgments entered on default, and the practical considerations associated with these different types of judgments. The program also addresses domestication of foreign country money judgments, as well as non-monetary judgments. The program aims to provide litigants with real-world, practical advice and tips in navigating the often-used, but murky procedural devices for domestication of sister-state and foreign judgments in New York.

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Sovereign and Central Bank Digital Currency – Is Cash Still the King? (05/27/2020)

Program Number: 3079 Presenter: Joel Telpner, Esq., Mari Tomunen, Esq.

With the ease of using a mobile bank, one might forget that all current monetary systems are based on the fact that technically only physical bills and coins are legal tender. The need to build digital layers on top of this setup leads to inherent friction. Why is not money natively digital? After the rise of Bitcoin and other digital blockchain based assets, practically every central bank around the world is now exploring the potential risks and benefits of turning money digital. The attorneys in this program are helping countries to issue natively digital sovereign currencies. They discuss the reason and future of Central Bank Digital Currencies, different approaches that countries are taking, and the roadblocks that need to be overcome before this major shift in the theory and makeup of money can happen.

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Demystifying Blockchain and Cryptocurrencies (05/07/2020)

Program Number: 3078 Presenter: David Kalat

In conventional usage, the term “hacking” generally refers to an unauthorized user gaining access to an electronic resource. Hackers use various means to steal, guess, calculate, or otherwise obtain credentials to access systems and data they are not allowed to access. When we talk about “hacking” a blockchain, however, this does not adequately or accurately describe what has happened and blinds us to understanding where the real risks lie in this new technology of distributed ledgers and crypto-assets. The high-profile, most destructive, and expensive “hacks” in blockchain environments actually represent *authorized* users misbehaving. In some cases, these are authorized users acting on their own behalf to exploit weaknesses in the system to their own gain at the expense of other users, in other cases these are authorized users who are misusing the trust placed in them by their customers. The key to protecting yourself against fraud in this new alien

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Fintech 2020 and Beyond: The Decade of Regulatory Collaboration (03/17/2020)

Program Number: 3073 Presenter: Joann Needleman, Esq.

The past two decades have seen rapid expansion and exponential growth of financial services technology (“fin-tech”) and financial services innovation. After a decade of intense regulation of the financial services industry, regulators are now looking to promote financial innovation through regulatory engagement. This webinar will explore the opportunities financial services entities have both at the state and federal level to engage regulators with new ideas that can promote new ways to deliver financial services product and services.

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Blockchain and Digital Assets: A Review of 2019 Legislative, Regulatory and Legal Developments and What to Expect in 2020 (03/02/2020)

Program Number: 3072 Presenter: Caroline A. Morgan, Esq. , Antonia Savaria, Esq.

In this CLE you will learn about the regulatory and legislative changes in 2019 that impacted the blockchain and digital assets space on the federal level and highlights of New York developments. We demystify the rules, regulations and the law and explain the complex interplay businesses face between innovation and regulatory/legal compliance. Join us as we discuss these key developments and what is to come in 2020. In addition to lawyers, this seminar is relevant for both FinTech startups and more mature firms.

$95.00Online Audio Add to Cart

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