Agenda:

 

7:00 am

Registration

 

7:50am

Welcoming Remarks

Julie K. Lutz, Program Chair, Regional Director, SEC Denver

 

8:00am

 

8:30am

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.

 

Andrew Ceresney, Director, Division of Enforcement, SEC

Joseph K. Brenner, Chief Counsel, Division of Enforcement, SEC

 

Moderator:  Thomas J. Krysa, Associate Regional Director, Division of Enforcement, SEC Denver

 

9:20am

Now in its fifth year of operation, the SEC's cooperation program plays a critical role in an increasing number of enforcement cases. What are the benefits of cooperation, and are those benefits sufficient?  Is it ever too late to cooperate - or too early? What considerations should drive defense counsel's evaluation of whether to enter into a cooperation agreement with the SEC?

 

Daniel F. Shea, Of Counsel, Hogan Lovells LLP, and former Regional Director, SEC

Ian S. Karpel, Assistant Regional Director, Division of Enforcement, SEC Denver

 

9:40am

Networking Break

 

10:00am

This panel of expert defense counsel and former SEC regional directors will discuss challenges in litigating and settling SEC enforcement cases, including: admissions of wrongdoing; increasing corporate and individual sanctions; a review of the SEC's "broken windows" approach and corporate sweeps; and whether Newman is a bright spot for defendants, at least in insider trading cases.

 

Merri Jo Gillette, Partner, Morgan Lewis and Bockius LLP, and former Regional Director, SEC

Randall J. Fons, Partner, Morrison Foerster LLP, and former Regional Director, SEC

 

Moderator:  Marc Fagel, Partner, Gibson, Dunn & Crutcher LLP, and former Regional Director, SEC

 

10:50am

In recent years, the SEC has increasingly initiated litigation of enforcement cases in its administrative forum. What are the considerations underlying this trend? Is the administrative forum suitable for all types of enforcement actions? Are there advantages or disadvantages to litigating in this forum? What is the defense bar's stance toward litigating in the AP forum under the SEC's Rules of Practice?

 

Joseph K. Brenner, Chief Counsel, Division of Enforcement, SEC

Monica K. Loseman, Partner, Gibson, Dunn and Crutcher LLP

 

11:10am

Join the Deputy Director of the SEC's Division of Corporation Finance in a wide-ranging discussion of new rule-makings, current division priorities, and other current developments. Time will be allotted for audience questions.

 

Shelley E. Parratt, Deputy Director, Division of Corporation Finance, SEC

 

Moderator:  Jeffrey A. Sherman, Vice President, Deputy General Counsel and Corporate Secretary, The Spectranetics Corporation

 

12:00 -1:15pm

Luncheon and Speaker:  Ethical Considerations in the SEC's Whistleblower Program

Sean McKessy, Chief, Office of the Whistleblower, SEC

 

1:20pm

Hear SEC and industry perspectives on new and emerging trends, risks, and issues; regulatory developments; and examination program priorities and initiatives.

 

Maurice Wyatt, Acting Director, Office of Compliance Inspections and Examinations, SEC

Mary Keefe, Director of Compliance for Nuveen Investments, and former Regional Director, SEC

John H. Walsh, Partner, Sutherland Asbill & Brennan LLP

 

Moderator:  Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver

 

2:10pm

The asset management industry is experiencing fundamental changes, including: migration from traditional brokerage and retirement accounts to managed accounts; increased Commission scrutiny of private funds; and the proliferation of registered funds using alternative investments or strategies.  What are the concerns of the SEC's examination and enforcement groups as to the fee arrangements of these investments?

 

Kurt L. Gottschall, Assistant Regional Director, Asset Management Unit, SEC Denver

Nicholas F. Madsen, Assistant Regional Director, Investment Adviser/Investment Company Examination Program, SEC Denver

 

2:30pm

Networking Break

 

2:40pm

This session features talented general counsels with unique perspectives concerning managing the risks of data privacy in the face of increased cyber-attacks; pitfalls and opportunities of annual board assessments; and best practices for dealing with activist investors.

 

Daniel L. Jablonsky, Senior Vice President and General Counsel, DigitalGlobe, Inc.

Margaret McLean, Senior Vice President and General Counsel, Teletech Holdings Inc.

 

Moderator:  Daniel F. Shea, Of Counsel, Hogan Lovells LLP, and former Regional Director, SEC

 

3:30pm

This interactive and engaging session will focus on conflicts arising from multiple party representation; waiver of attorney client privilege; internal investigations; limits on charges of improper conduct by opposing counsel; and recent developments in discipline of attorneys appearing and practicing before the Commission.

 

Matthew T. Kirsch, Chief, Criminal Division, United States Attorney's Office

Holly Stein Sollod, Partner, Holland & Hart LLP

Andrew Shoemaker, Partner, Shoemaker Ghiselli + Schwartz, LLC

 

Moderator:  Gregory A. Kasper, Supervisory Trial Counsel, SEC Denver

 

4:20pm

Break

 

4:30pm

BREAKOUT SESSIONS BEGIN - PLEASE SELECT ONE SESSION TO ATTEND

 

Session A:

Is the Audit Committee evolving into the 'everything committee'? From the perspective of those serving on audit committees and those commenting on recent governance trends, the resounding answer is 'yes'! This panel of experienced audit committee experts, each of whom brings a particular perspective to the discussion, will focus primarily on how audit committee members can effectively prioritize their ever expanding agenda.

 

Gordon Seymour, General Counsel, Public Company Accounting Oversight Board

Scott A. Taub, Managing Partner, Financial Reporting Advisors, LLC, and Compliance Weekly Contributor

John F. Olson, Partner, Gibson, Dunn & Crutcher LLP

 

Moderator: Elizabeth Stapp, Instructor, Center for Education on Social Responsibility, Leeds School of Business, University of Colorado at Boulder

 

Session B:

This session will include practice pointers and lurking legal pitfalls in newly adopted Regulation A+, general solicitations under Regulation D, 506(c); Colorado's intrastate crowdfunding initiative; the interplay of state regulation, portals, and the SEC's proposed rules; and an update on SEC regulatory efforts on Reg D and crowdfunding.  

 

Gerald Rome, Commissioner, Colorado Division of Securities

Richard B. Levin, Counsel, Baker and Hostetler

Elizabeth Karpinski Vonne, Partner, Davis, Graham & Stubbs LLP

 

Moderator: Reid A. Godbolt, President, Jones & Keller

 

5:10pm