Whatever your line of business, the federal government is there. Sooner or later your business will encounter a federal regulatory agency. The key is to be in front of agency initiatives, which is where Dorsey’s Fifth Annual Federal Enforcement Forum will put you.

Click here to register for the program. 

PROGRAM SCHEDULE
11:00 am – 5:00 pm ET

WELCOMING REMARKS: 11:00 am

Ken Cutler, Managing Partner, Dorsey & Whitney LLP

KEYNOTE ADDRESS: 11:05 am
Artificial Intelligence: A Look at the Future

Special guest lecturer:

Rohini Srihari, Chief Data Scientist, PeaceTech Lab, Professor of Computer Science, State University of New York

PANEL I: 12:00 pm
SEC Enforcement: Key Issues Facing the Division 

Moderator: 
Tom Gorman, Partner, Dorsey & Whitney LLP; former official in the Enforcement Division, SEC
J David Jackson, Partner, Dorsey & Whitney LLP

Special guest speakers:

Brian P. O’Shea, Senior Director at the Center for Capital Market Competitiveness, U.S. Chamber of Commerce
Urska Velikonja, Professor, Georgetown University Law School specializing in SEC enforcement

PANEL II: 1:00 pm
Broker-Dealer Regulation: Broker Protocols

Moderator: 
Edward B. Magarian, Partner, Dorsey & Whitney LLP
Daniel Baich, Of Counsel, Dorsey & Whitney LLP 

Special guest speaker:

Gail Van Horn, Corporate Counsel and Vice President, U.S. Bank

PANEL III: 2:00 pm
Investment Management: Critical Issues with OCIE and Enforcement

Moderator: 
Genna Garver, Of Counsel and Chair of the Investment Management Group, Dorsey & Whitney LLP

Special guest speakers:

L. Allison Charley, Senior Principal Consultant, ACA Compliance Group
Paul D. Glenn, Senior Special Counsel, Investment Adviser Association

PANEL IV: 3:00 pm
Conducting the ICO

Moderator: 
Joe Lynyak, Partner, Dorsey & Whitney LLP

Dorsey speakers: 

Genna Garver, Of Counsel and Chair of the Investment Management Group, Dorsey & Whitney LLP
Tom Gorman, Partner, Dorsey & Whitney LLP; former official in the Enforcement Division, SEC
Kim Severson, Partner, Dorsey & Whitney LLP

Closing Address: 4:00 pm
Cybersecurity and Internal Controls

Special guest lecturer:

John Reed Stark, President of John Reed Stark Consulting, the author of “The Cybersecurity Due Diligence Handbook” and the former Head of the SEC’s Cybersecurity Enforcement Unit

HOLIDAY PARTY TO FOLLOW FORUM

Click here to register for the holiday party.

Hors d’oeuvres and drinks will be available for all panelists, registrants and friends of the firm.

CLE INFORMATION
Dorsey is an Accredited CLE Provider in California and New York, and this program will qualify. We will apply for CLE credit in Colorado, Iowa, Minnesota, North Dakota, Oregon, Texas, Utah, Washington and Wisconsin. For any other state, Dorsey will not be applying for CLE credit. For more information, please contact Michelle Hubble. Certificates will be sent by email.

QUESTIONS
If you have questions, please contact Alessandra Composto at (212) 415-9203 or via e-mail.