50th Annual Rocky Mountain Securities Conference Out of Stock
Co-sponsored by the U.S. Securities and Exchange Commission, the Business Law Section of the Colorad
Quantity
May 2018
50th Annual Rocky Mountain Securities Conference
Co-sponsored by the U.S. Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association
Program Highlights:
You would have to travel to Washington DC or New York paying thousands of dollars to find a conference that offers as much as this for a fraction of the cost. Reserve your place and be part of this very special event right here in Denver!
If you want to get the facts, gain insight about the impact of the new administration, and hear from voices of experience, don’t miss this conference!
Register today – seating is limited!
Topics include:
- SEC Enforcement — Current Issues and Trends
- Regulated Entities
- Cryptocurrency Issues in Securities Enforcement
- Disclosure, Accounting and Audit Issues for Public Companies
- Current Trends in Securities and White Collar Defense
- Capital Formation for Small Business
- General Counsel Viewpoints: Devising and Maintaining an Effective Compliance Program
- Ethical Issues for Securities Industry Professionals
The 50th Annual Rocky Mountain Securities Conference features a line-up of presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community.
Location:
The Conference is being held at the Grand Hyatt Hotel, 1750 Welton Street, Denver, CO 80202
Cancellation Policy:
CANCELLATIONS: If you are unable to attend, please notify CBA/ CLE by May 7, 2018 and we will gladly refund your tuition in full, transfer your tuition to the homestudy, or you may send someone in your place. Cancellations after 5:00 pm on May 7, 2018 will be refunded less a $100 cancellation fee.
Agenda:
8:00 am
Registration and Continental Breakfast
8:15am
Welcoming Remarks
Julie K. Lutz, Program Chair, Regional Director, SEC Denver
8:30 - 9:20am
SEC Enforcement – Current Issues and Trends
Join our panel of SEC and DOJ experts for an insightful analysis of current national and regional enforcement priorities, legal developments, and recent notable cases.
Panel:
- Joseph K. Brenner, Chief Counsel, Enforcement Division, SEC
- Robert C. Troyer, U.S. Attorney for the District of Colorado
- Anthony Kelly, Co-Chief, Asset Management Unit, Enforcement Division, SEC
Moderator: Kurt L. Gottschall, Associate Regional Director, Enforcement Division, SEC Denver
9:20 - 9:30am
Networking Break
9:30 - 10:20am
Regulated Entities - Developments and Hot Topics
This session will present perspectives from the SEC, the securities bar, and the financial services industry on topics affecting investment advisers, investment companies, broker-dealers, and private funds. The panelists will discuss industry and legal developments, as well as the priorities and initatives of the SEC's National Examination Program.
Panel:
- Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations, SEC
- Susan Boudrot, Managing Director, Global Chief Compliance Officer, TD Ameritrade Holding Corporation
- Stephanie M. Monaco, Partner, Mayer Brown LLP
Moderator: Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
10:20 – 10:30am
Networking Break
10:30 - 11:20am
Cryptocurrency Issues in Securities Enforcement
Our expert panelists will review the application of blockchain technology and the use of cryptocurrency in the marketplace. The panel will also discuss the legal landscape and enforcement issues arising from cryptocurrency and initial coin offerings.
Panel:
- Valerie Szczepanik, Assistant Director, Cyber Unit, Head, Distributed Ledger Technology Working Group, SEC New York (Panel Member and Moderator)
- Michele Korver, Digital Currency Counsel, DOJ
- Richard B. Levin, Shareholder, Polsinelli LLP
11:20am - 12:45pm
Luncheon and Presentation Description Needed
(lunch service from 11:20 - 11:50am)
(presentation from 11:50 - 12:40pm)
Featured Speaker:
Commissioner Hester M. Peirce
12:40 – 1:00pm
Networking Break
Breakout Sessions:
Breakout Session A:
1:00 – 1:50pm
Disclosure, Accounting and Audit Issues for Public Companies
Disclosure, Accounting and Audit Issues for Public Companies
These national leaders address current hot topics in disclosure, accounting and auditing, including auditor independence issues, and other emerging areas of focus from the SEC and PCAOB.
Panel:
- R. Gregory Spiers, Deloitte & Touche LLP
- Claudius B. Modesti, Director of Enforcement, PCAOB
Moderator: Charles Wright, Senior Legal Advisor, Office of Chief Accountant, Enforcement Division, SEC
Breakout Session B:
1:00 – 1:50pm
Current Trends in Securities and White Collar Defense
Current Trends in Securities and White Collar Defense
This panel of expert defense counsel will discuss challenges in litigating and settling federal and state enforcement cases in light of shifting SEC and DOJ priorities and recent case law.
Panel:
- Tom Krysa, Shareholder, Brownstein Hyatt Farber Schreck LLP
- Monica Loseman, Partner, Gibson Dunn & Crutcher
- Cliff Stricklin, Partner, Bryan Cave
Moderator: John F. Walsh, Wilmer Cutler Pickering Hale and Dorr, Former U.S. Attorney, District of Colorado
1:50-2:00pm
Networking Break
Breakout Session A:
2:00 - 2:50pm
Capital Formation for Small Business
This session with regulatory, academic, and practicing professionals will provide practice pointers to avoid legal pitfalls for small businesses raising capital. The panel will cover Regulation D issues, including crowdfunding updates, and the SEC’s regulatory efforts in this arena.
Panel:
- Amy Reischauer, Senior Counsel, Office of Small Business Policy, Division of Corporation Finance, SEC
- Andrew Schwartz, Professor of Law, University of Colorado
- Gerald Rome, Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, State of Colorado
Moderator: Julie Herzog, Partner, Fortis Law Partners, LLC
Breakout Session B:
2:00 - 2:50pm
General Counsel Viewpoints: Devising and Maintaining an Effective Compliance Program
Talented general counsels share their unique perspectives on best practices for creating and sustaining an effective compliance program.
Panel:
- Margaret E. McCandless, Vice President and General Counsel, Intrepid Potash
- Margaret McLean, Senior Vice President and General Counsel, Teletech Holdings Inc.
- James Hearty, Senior Vice President and Chief Compliance Officer, DaVita, Inc.
Moderator: Daniel F. Shea, Of Counsel, Hogan Lovells LLP, Former Regional Director, SEC Denver
2:50 - 3:00pm
Networking Break
3:00 - 3:50pm 1 ETHICS CREDIT
Ethical Issues for Securities Industry Professionals
This interactive session focuses on the boundaries of ethical representation in complex transactions, civil securities and corporate litigation, and criminal proceedings.
Panel:
- Lucas T. Ritchie, Moye White, LLP, Securities Subsection Co-Chair, Business Law Section, Colorado Bar Association
- Matt Kirsch, Acting First Assistant US Attorney, U.S. Attorney's Office, District of Colorado
- Valeri Pappas, Partner, Davis & Ceriani P.C., Denver, CO
Moderator: Gregory A. Kasper, Regional Trial Counsel, Enforcement Division, SEC Denver
3:50pm
Conclusion , Evaluations and Adjourn to Hosted Networking Happy Hour
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $429.00 USD
- Member Price $399.00 USD
- General Credits 9.00
- Ethics Credits 1.00
- EDI Credits