Vermont (VT) Corporate Compliance CLE Course Catalog

AI is greatly impacting securities enforcement, regulation, compliance, and practice, requiring companies and regulators to address associated risks and challenges. This panel discusses the increasing risks and regulations around AI in finance. Experts discuss best practices.

Organizations facing corporate crises and must prioritize strong compliance and crisis management plans. This expert panel discuss how to address risks that arise in the event of a crisis, including assessing the severity, establishing clear reporting lines, and controlling communication.

This expert panel discusses recent trends in SEC and DOJ insider trading cases. Experts discuss the new 10b5-1 plan amendments. The importance of information security and training to prevent insider trading is highlighted, along with challenges in securing evidence for prosecution.

Financial firms such as asset managers, broker-dealers, private funds, and others face scrutiny and fines from the SEC for compliance failures. Expert panelists discuss how financial firms are facing increased scrutiny and large fines from the SEC for compliance failures, particularly concerning communication records and marketing rules.

Navigating the regulatory world of digital assets/cryptocurrency is essential for businesses. Expert panelists discuss the SEC's application of existing securities law to crypto, recent cases like Ripple and XRP lawsuit, and the increasing scrutiny on digital asset offerings.

Financial firms are under heightened scrutiny from the SEC, facing investigations and potential penalties for violations related to off-channel communication, recordkeeping and other matters. Expert panelists discuss proactive measures for asset managers and others in cooperating with the SEC to reduce penalties.

Cooperation, robust internal controls, and a culture of compliance are key to preventing accounting fraud, as discussed by expert panelists from the SEC and the private sector. Effective communication and cooperation are vital in navigating investigations, empowering gatekeepers, and setting an example for other firms.

An expert panel including counsel from the SEC discusses how managing a corporate crisis or major internal investigation requires a delicate balance of assessing the impact on disclosure and regulators and engaging with various stakeholders. Auditors play a crucial role in assessing evidence, collaborating with boards/counsel, and navigating independence issues.

Join us as experts discuss the SEC’s Whistleblower Program and recent whistleblower awards. Panelists give recommendations on handling whistleblower complaints and rules against retaliation. Discussion of UBS, Activision, and Brinks cases.