Securities Docket’s Securities Enforcement Forum 2015

Washington, DC
4 Nov 2015
Partner Claudius Sokenu (New York-Litigation) was on the faculty for Securities Docket’s Securities Enforcement Forum 2015, which took place on November 4, 2015 at the Mayflower Hotel in Washington, DC.

Securities Enforcement Forum 2015 was a unique, one-day conference that brought together current and former senior SEC and DOJ officials, securities enforcement and white-collar attorneys, in-house counsel and compliance executives, and other top professionals in the field and addressed the most pressing and important issues and trends in the world of civil and criminal securities enforcement. Drawing on the experience of our extraordinary faculty of former and current senior officials of the SEC and the DOJ, as well as many other preeminent attorneys practicing in this area, SEF 2015 analyzed issues including:

  • FCPA and anti-corruption trends, developments and best practices worldwide
  • Developments in SEC administrative proceedings
  • The evolving definition of insider trading and compliance challenges for companies and investment firms
  • Ethics issues in bringing and defending SEC investigations
  • Impact of the ongoing “Changing of the Guard” at the SEC and DOJ
  • Trends in the criminalization of securities law
  • International enforcement of securities laws, and cooperation with the U.S.
  • Trends and key issues in financial fraud and accounting investigations
  • Enforcement developments in SEC, FINRA, and other investigations regarding hedge funds, asset managers, broker-dealers and other investment entities
  • Cooperation agreements, non-prosecution agreements and deferred prosecutions agreements
  • The increased use of trials, aggressive prosecutorial tactics and forensic analysis in securities enforcement matters
  • The rise of cybersecurity as an SEC and securities law issue
  • Whistleblower developments and the role of the SEC’s whistleblower program under Dodd-Frank  
Sokenu spoke on a panel entitled “FCPA, SEC/DOJ Joint Actions, and Other Criminal Enforcement Trends.”
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