Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2021 Update)

Jan 18, 2022 12:00pm ‐ Jan 18, 2022 1:00pm

Identification: 1

SEC’s Dodd-Frank Whistleblower Program continued to break records in FY 2021. The Office of the Whistleblower (“OWB”) received over 12,200 whistleblower tips, by far the largest number of tips received since the beginning of the Program, from 99 foreign countries and every state in the Union. Additionally, the OWB handed out the largest whistleblower awards to date and processed the highest number of claims in FY 2021 since the Program began eleven years ago. The OWB also saw a change in leadership in FY 2021, with the longtime Chief Jane Norberg departing and with the new Acting Chief in office. Together, these trends and changes create the perfect storm for keeping in-house counsel and compliance professionals up at night.

Securities Docket is pleased to present its eleventh annual webcast on Dodd-Frank’s whistleblower provisions. This year’s panelists once again include leading practitioners in all aspects of Dodd-Frank whistleblower litigation and investigations, including F. Joseph Warin, John W.F. Chesley, Greta Williams, and Nicole Lee of Gibson Dunn, former SEC Office of the Whistleblower Chief Sean X. McKessy of Phillips & Cohen, and Jim Barratt of AlixPartners.

This free, 90-minute webcast will include a dynamic and participatory discussion on the statutory and regulatory framework of Dodd-Frank’s whistleblower provisions, their interpretation by the SEC Office of the Whistleblower and federal courts, and provide participants with practical tips for navigating the minefield of whistleblower complaints.


The Forecast is Cloudy with a Chance of Breaches

Jan 19, 2022 12:00pm ‐ Jan 19, 2022 1:00pm

Identification: 2

When a cloud security incident affects victim organizations, they often do not know the key questions to ask or the optimal steps to take in order to investigate or begin to remediate. With the intricacies of cloud environments, their ephemerality, logging retention, and a host of other issues, it can be difficult to know what their first moves should be.

In this session we will discuss what an organization can do ahead of time to prepare for a cloud security incident, during the incident itself, and afterwards to better prepare for the next one.

Please join Ross Worden and Sam Rubin of Unit 42 as they address these issues and your questions in this free webcast.


SEC Enforcement: A Look Back at 2021, and What to Expect in 2022

Feb 1, 2022 12:00pm ‐ Feb 1, 2022 1:00pm

Identification: 3

In this annual webcast, our panel will discuss the key developments in SEC enforcement matters from 2021, and what lies ahead. Among other items, the panel will address:

• enforcement results under Chairman Gary Gensler and his staff, and what areas are in focus going forward;
• new legal and policy issues arising from enforcement cases; and
• developments involving ESG; digital assets; insider trading; FCPA; financial reporting; remedies and sanctions; and the Whistleblower Program.

Please join panelists Bill McLucas from Wilmer Cutler Pickering Hale and Dorr LLP; Doug Davison from Linklaters; and Marty Wilczynski and Steve Richards from Ankura Consulting as they address these and other key developments in SEC enforcement.

The Dark Side of Digital: Preparing for the Latest Cybersecurity Threats

Feb 16, 2022 12:00pm ‐ Feb 16, 2022 1:00pm

Identification: 4

With an expansive digital ecosystem that includes a hybrid or remote workforce and a vast network of third-party suppliers, cyber incidents can occur in a myriad of ways. This session will highlight the latest cybersecurity risks and threats organizations are facing, the motivations behind cyber attacks, and how organizations can mitigate cyber risk and prepare for incidents. Topics will include financially-motivated cyber crime, nation-state threats, incident response investigations, and cyber risk mitigation techniques. Our speakers will share their experience from a legal, law enforcement, and advisory perspective, touching on both the technical and strategic elements of cybersecurity and risk management. Learn more about:

--The risk factors that can impact exposure to a cyber incident;
--Common cyber attack methods and how they unfold;
--The cyber threat actors behind major attacks;
--How to conduct an incident response investigation; and
--Cybersecurity controls to improve security and mitigate risk.

Please join panelists Yulia Maksimenko and Nathan Mousselli of FTI Consulting and Elizabeth Shirley of Burr & Forman as they address these issues and your questions in this free webcast.

Crypto: The Wave of the Future or a Giant Ponzi Scheme?

Mar 10, 2022 12:00pm ‐ Mar 10, 2022 1:00pm

Identification: 5

Is cryptocurrency the wave of the future, critical for global economic and financial evolution? Or is it a Ponzi scheme of epic proportions?

We have gathered a uniquely experienced and engaging group of experts to answer this critical question, and to offer a range of perspectives and insights on cryptocurrency and other digital assets.

Our panel features famed technologist Kelsey Hightower; Duke Law fintech professor Lee Reiners; Global BlockChain Business Council CEO Sandra Ro; and celebrated entrepreneur and digital financier Anthony Scaramucci, in a discussion moderated by the former Chief of the SEC’s Office of Internet Enforcement, John Reed Stark.

Please join us for this no-holds-barred, extraordinary (and respectful) discussion that will take on one of today's most important financial issues.

5 Key Cyber[security] Issues Impacting the 2022 Corporate Legal Landscape

Apr 14, 2022 12:00pm ‐ Apr 14, 2022 1:00pm

Identification: 6

StoneTurn Partner Luke Tenery and Skadden Partner Bill Ridgway will discuss the five key cyber (security) issues impacting the 2022 corporate legal landscape, including:

--Expanded enforcement and/or regulator guidance from multiple agencies keeps security and compliance teams on their toes: The FTC, SEC, DoL, and NY State all had new guidance and some of these could probably be bifurcated to identify common themes, including security testing obligations, heightened security standards, board oversight, prompt and detailed reporting of incidents, and scrutiny of ransomware payments and public statements about incidents. We will discuss updates and common themes to regulator guidance to considerations , the recent expansion of reporting obligations (SEC financial reporting, etc.) if an incident has occurred.
--Regulator investigations: We will discuss activities in anticipation of regulator inquiries, audits, or subpoenas, and tactics for handling such inquiries.
--Remediation in the Spotlight: Increasingly stakeholders and regulators keep watch to the key steps performed by organizations that were compromised. We will discuss what constitutes meaningful remediation, and making sure lessons learned are implemented.
--Ransomware still a driving factor: A discussion around the pitfalls, TA end goals, impact, and outcomes
--Targeted Intelligence is a growing trend to navigate the complexities and uncertainties in corporate investigations and response: What are the real time visibility and client issues (knowing the TA IOCs is no longer sufficient, social media for insider issues, etc.)


“Sustainable” Private Equity: An In-Depth Look at ESG Trends and Challenges

May 5, 2022 12:00pm ‐ May 5, 2022 1:00pm

Identification: 7

During this webinar we will:

--Explore the reasons why PE funds (and their limited partners) have increasingly embraced ESG programs and reporting processes themselves as well as in their portfolio companies;
--Offer practical tips and guidance when implementing an ESG program and the related reporting processes;
--Discuss how to identify and adopt decision-useful performance metrics and conduct materiality assessments; and
--Consider key legal and strategic questions during the M&A process, including conducting ESG-related due diligence and negotiating deal terms.

Please join panelists Rodolfo Araujo and Christopher DeSa of FTI Consulting, Jessica Monson of Caribou Coffee, and Danielle Reyes of Goodwin Procter, as they address these issues and your questions in this free webcast.

AI Readiness – Practical Steps to Prepare for Artificial Intelligence Incidents

May 25, 2022 12:00pm ‐ May 25, 2022 1:00pm

Identification: 8

Please join us for a discussion on the latest considerations for Incident Response covering Artificial Intelligence issues. How would your organization respond to an AI incident if it became aware of impacts such as bias claims, harmful or erroneous performance, or an AI model and its production data being hacked or tampered with?

Our panel of data strategy and cyber technology leaders will speak pragmatically about current events in AI legal, compliance, and risk. We’ll also dissect public case studies, pitfalls, and steps organizations should be taking to prepare for AI issues.


Addressing Digital Asset Integration Risks: From Regulation to Investigation

Aug 9, 2022 12:00pm ‐ Aug 9, 2022 1:00pm

Identification: 9

In this webcast, Ankura Consulting professionals will discuss regulatory and risk considerations companies should be aware of when looking to incorporate digital assets into their business. The panel will also go into the unique features of conducting investigations involving digital assets when compared to more traditional investigations involving fiat currencies only. Among other topics, the panel will cover:

--Regulatory considerations for companies entering the digital assets space.
--Importance of a strong compliance program to deter criminal activity and prevent being the target of regulatory enforcement actions.
--Types of frauds and criminal activity that affect the digital assets space.
--Best practice investigation methodologies when digital assets are involved.
--Leveraging technology to address compliance issues and to aid in investigations.
--The regulatory enforcement landscape outlook for digital assets.

Please join Ankura Consulting digital assets professionals Ayana Murphy, compliance and AML expert, Brad Lohmeyer, data and technology expert, and Andrew Sotak, forensic accounting investigations expert as they address these topics and other developments in the digital assets industry.

IP Theft: Unraveling Cyber Threat Intelligence

Nov 1, 2022 12:00pm ‐ Nov 1, 2022 1:00pm

Identification: 10

The cross-roads between technology and law are becoming more evident through the unfortunate surge of data breaches, ransomware and data exfiltration events that are tied to trade secret, IP and executive level strategy theft year over year. Companies and individuals are being targeted by sophisticated, well-funded hacker and cyber terrorism groups seeking to exploit or extract sensitive and valuable information, while simultaneously, insider threats that are monetizing this material for personal gain are also on the rise.

As opposed to more common data breach matters, which are often executed without consideration for the particular target, these types of incidents arise from specific targeting for specific goals – for example, to view non-public financial information for insider trading, or to steal trade secrets. These incidents require sophisticated and deep investigation across a broad swath of an organization’s systems and data repositories and can often lead to regulatory, litigation or other counter-offensive measures. Unfortunately, these forms of targeted incidents are becoming common events across all industries regardless of company size.

Please join us for this free webcast in which our panel will address these topics and other developments in the digital assets industry, as well as your questions.