Securities Enforcement Forum West 2021 - Virtual Event

May 13, 2021 ‐ May 13, 2021

Introduction and Welcome Remarks

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Introduction and Welcome Remarks

May 13, 2021 8:15am ‐ May 13, 2021 8:25am

Identification: S01

• Bruce Carton, Editor, Securities Docket

The SEC’s Focus on Cybersecurity – Disclosure, Enforcement and Key Guidance for 2021

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The SEC’s Focus on Cybersecurity – Disclosure, Enforcement and Key Guidance for 2021

May 13, 2021 8:30am ‐ May 13, 2021 9:15am

Identification: S02

• Brent Wilner, Senior Counsel, Cyber Unit, U.S. Securities and Exchange Commission
• Susan Resley, Partner, Morgan Lewis & Bockius
• Jack Bennett, Managing Director, Kroll
• John Reed Stark, President, John Reed Stark Consulting, LLC

Silicon Valley Spotlight – Regulation, Enforcement and Prosecution Trends

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Silicon Valley Spotlight – Regulation, Enforcement and Prosecution Trends

May 13, 2021 9:20am ‐ May 13, 2021 10:05am

Identification: S03

• Eric Poer, Senior Managing Director, FTI Consulting
• Shannon Eagan, Partner, Cooley LLP
• Monique Winkler, Associate Regional Director, U.S. Securities and Exchange Commission
• Gavin M. Masuda, Partner, Latham & Watkins

Cryptocurrency Regulation, Enforcement and Litigation

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Cryptocurrency Regulation, Enforcement and Litigation

May 13, 2021 10:10am ‐ May 13, 2021 10:55am

Identification: S04

• Steven Buchholz, Assistant Regional Director, U.S. Securities and Exchange Commission
• Michael Dicke, Partner, Fenwick & West
• Sean Prosser, Partner, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo
• John Berry, Partner, Munger, Tolles & Olson

Managing Internal Investigations and Advanced Government Defense

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Managing Internal Investigations and Advanced Government Defense

May 13, 2021 11:00am ‐ May 13, 2021 11:45am

Identification: S05

• Alka Patel, Associate Regional Director, U.S. Securities and Exchange Commission
• Leslie Caldwell, Partner, Latham & Watkins
• Craig Martin, Partner, Morrison & Foerster
• Edward Westerman, Senior Managing Director, FTI Consulting

Financial Disclosure and Accounting Fraud

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Financial Disclosure and Accounting Fraud

May 13, 2021 11:50am ‐ May 13, 2021 12:35pm

Identification: S06

• Howard Scheck, Partner, StoneTurn
• Martin Wilczynski, Senior Managing Director, Ankura Consulting Group
• Robert Cohen, Partner, Davis Polk
• Diana Tani, Assistant Regional Director, U.S. Securities and Exchange Commission

Commissioners’ Corner: Q&A with Dan Gallagher and Joe Grundfest

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Commissioners’ Corner: Q&A with Dan Gallagher and Joe Grundfest

May 13, 2021 12:40pm ‐ May 13, 2021 1:10pm

Identification: S07

• Daniel M. Gallagher, Chief Legal Officer, Robinhood
• Joseph A. Grundfest, William A. Franke Professor of Law and Business, Stanford Law School
• Bruce Carton, Editor, Securities Docket

Directors’ Panel

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Directors’ Panel

May 13, 2021 1:15pm ‐ May 13, 2021 2:05pm

Identification: S08

• Jordan Eth, Partner, Morrison & Foerster
• Jina Choi, Partner, Morrison & Foerster
• Michele Wein Layne, Director, U.S. Securities and Exchange Commission
• Erin Schneider, Director, U.S. Securities and Exchange Commission
• Randall Lee, Partner, Cooley LLP

Financial Firm Spotlight – Enforcement and Regulatory Developments for Asset Managers, Broker-Dealers, Hedge Funds and More

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Financial Firm Spotlight – Enforcement and Regulatory Developments for Asset Managers, Broker-Dealers, Hedge Funds and More

May 13, 2021 2:10pm ‐ May 13, 2021 2:55pm

Identification: S09

• Peter Altman, Partner, Akin Gump Strauss Hauer & Feld
• Kristin Snyder, Associate Regional Director, U.S. Securities and Exchange Commission
• Sam Waldon, Partner, Proskauer
• Jennifer Hull, Managing Director, Berkeley Research Group

Insider Trading 360° – Enforcement Trends and Key Cases, Prosecutions, and Legislation

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Insider Trading 360° – Enforcement Trends and Key Cases, Prosecutions, and Legislation

May 13, 2021 3:00pm ‐ May 13, 2021 3:45pm

Identification: S10

• Russell Ryan, Partner, King & Spalding
• Thomas Zaccaro, Partner, Paul Hastings
• Jennifer Lee, Assistant Regional Director, U.S. Securities and Exchange Commission
• Erica Williams, Partner, Kirkland & Ellis