The New York County Lawyers' Association (NYCLA) next month is planning a CLE seminar titled Recent Developments in Securities Enforcement.
The program will take place on Friday, February 6 from 9 a.m. to 5 p.m. at the NYCLA Home of Law, 14 Vesey Street, New York City.
This full-day seminar will provide an opportunity for those interested in securities enforcement to hear the latest developments from those in the know - prosecutors, regulators and defense attorneys who are the leaders in their fields. Attendees will learn new strategies for defense and new prosecution and regulatory initiatives, as well as assistance in resolving ethical dilemmas faced by both prosecutors and defense attorneys.
Areas to be covered include:
SEC enforcement, including SEC enforcement priorities for 2004; focus on aiders and abetters; the risks and rewards of cooperating; Sarbanes-Oxley and other statutory developments; disclosure and non-disclosure obligations related to privilege; responsibilities on in-house and outside counsel.
NASD/NYSE investigations, including SRO enforcement priorities for 2004; recent initiatives/developments, and parallel proceedings in the post-D.L. Cromwell era;
Criminal enforcement, including the blurry line between regulatory and criminal violations - why some cases go criminal and some do not; new sentencing guidelines for securities fraud; the Feeney Amendment and the future of downward departures; the Thompson Memo and how to keep the corporation out of the caption; the impact of parallel proceedings in the post-Enron era, and cross-border investigations;
State enforcement, including the rise of state securities enforcement; a primer on state regulation and how it differs from its federal counterparts; the Baker Amendment; the sweeping powers of the Martin Act, and dual civil-criminal jurisdiction of the attorney general's office.
The co-chairs for the program are David Gourevitch, Law Office of David Gourevitch, P.C., and Ernest E. Badway, Saiber Schlesinger Satz & Goldstein. Among the other speakers are Barry Berke, Kramer Levin Naftalis & Frankel, LLP; Wayne Carlin, regional director, SEC New York Regional Office, and David P. Doherty, executive vice president for enforcement, New York Stock Exchange.
For CLE and registration fee information, see the Bulletin Board in this issue.
For reservations, call (212) 267-6646 or access www.nycla.org.