PANEL I

Environmental Enforcement: Issues in the Age of Trump

(James Rubin Memorial Environmental Law Address)

Professor Uhlmann will analyze trends in EPA criminal enforcement actions based on a multi-year study he has conducted and discuss enforcement efforts under the current administration. 

Special guest lecturer: 
David M. Uhlmann, Professor and Director of the Environmental Law and Policy Program, University of Michigan Law School; former Chief of the Environmental Crimes Section, DOJ

Click here for Panel I materials. 

**NOTE: Watching this recording does not allow the user to obtain CLE, CPD, CPE or HR credits.

PANEL II

SEC Enforcement: New Directions Under Chairman Clayton

The panel will focus on the new approach to SEC enforcement under Chairman Clayton, centered on retail customers and cybersecurity.  Key issues that the Enforcement program must deal with will also be discussed.  Those include the impact of the Supreme Court’s decision in Kokesh, which delimits the ability of the agency to impose financial remedies, and the potential impact of the decision that will come later this term in Digital Radio Trust regarding whistleblowers.  The panel will also discuss the trend toward filing actions in an administrative forum and the potential implications of Raymond J. Lucia should the Court chose to review the case.  Finally, the panel will analyze trends in financial fraud actions brought by the Commission.

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

Special guest speakers:
Stephen W. Hall, Legal Director and Securities Specialist, Better Markets
Susan Markel, Managing Director, AlixPartners; former Chief Accountant in the Enforcement Division, SEC
Brian P. O’Shea, Senior Director at the Center for Capital Market Competitiveness, Chamber of Commerce
Martin Wilczynski, Senior Managing Director, Ankura; former official in the Enforcement Division, SEC
Anat Carmy-Wiechman, Associate Director of the NYU Pollack Center for Law and Business

Click here for Panel II materials.

**NOTE: Watching this recording does not allow the user to obtain CLE, CPD, CPE or HR credits.

PANEL III

International Sanctions: A Discussion of Key Issue

The United States prosecutes international terrorism suspects under multiple criminal statutes.  Mr. Breinholt will review recent major Department of Justice terrorism prosecutions and discuss strategies used in the Department’s response to international terrorism threats.

Moderator: George Foote, Partner, Dorsey & Whitney

Special guest speaker: 
Jeff Breinholt, Deputy Chief of the Counter Terrorism Section, DOJ

Click here for Panel III materials.

**NOTE: Watching this recording does not allow the user to obtain CLE, CPD, CPE or HR credits.

PANEL IV

Artificial Intelligence and Bank Enforcement: A Sword or a Shield?

Technology is impacting the financial services industry from both the operational and the examination perspectives.  Banking regulators are slowly embracing these changes — but will innovations, such as AI, reduce alleged violations or act as an effective defense to problems when detected?  This panel will discuss and analyze these and related emerging trends and issues.

Moderator: Joe Lynyak, Partner, Dorsey & Whitney  

Special guest speakers: 
Brian Clark, CEO and Co-Founder, Ascent Technologies 
Natasha Duarte, Policy Analyst, Center for Democracy and Technology
Timothy J. Nagle, Associate General Counsel and Chief Privacy Officer, US Bank 

Click here for Panel IV materials.

**NOTE: Watching this recording does not allow the user to obtain CLE, CPD, CPE or HR credits.

PANEL V

Hot Topics In Investment Adviser Regulation

The panel will discuss key regulatory issues facing investment advisers including:  OCIE examinations and how to best prepare for them; the relationship between OCIE and Enforcement; the new Form ADV; and the recent recommendations from the U.S. Treasury for the asset management industry.

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

Special guest speakers: 
Asher Ailey, CCO and Asst.  General Counsel, Research Affiliates 
Shelby Drescher, CCO, PSC Eaglewood Americas LLC 
Paul D. Glenn, Special Counsel, Investment Adviser Association 
Jeff Morton, Partner and Co-Founder, ACA Compliance Group

Click here for Panel V materials.

**NOTE: Watching this recording does not allow the user to obtain CLE, CPD, CPE or HR credits.

PANEL VI

International Anti-Corruption Investigations: A Fire Side Chat

The discussion will focus on: The globalization of FCPA enforcement and its impact on world business; the geopolitical implications of FCPA enforcement and risk:  an FBI perspective; and the international foreign bribery enforcement and its effect on global risk. 

Moderators: Tom Gorman & Beth Forsythe, Co-Chairs of the Anti-Corruption Group, Dorsey & Whitney 

Special guest speaker: 
George “Ren” McEachern, Supervisory Special Agent of the International Corruption Unit, FBI 

Click here for Panel VI materials.

**NOTE: Watching this recording does not allow the user to obtain CLE, CPD, CPE or HR credits.