Tuesday, April 17, 2018 | 9 am – 12 pm
- This program is for those who may be involved with a Commodity Futures Trading Commission or Securities and Exchange Commission enforcement action or be a plaintiff or defendant in litigation regarding derivatives. It answers how enforcement actions are initiated by the Commodity Futures Trading Commission or the Securities and Exchange Commission and details the process for an enforcement action from start to finish. Private rights of action under the Commodity Exchange Act and related federal and state statutes are examined. This program also assesses the intersection between enforcement actions and civil litigation, top enforcement and litigation risks, and how to conduct an internal investigation.
This program is a must for anyone potentially involved with derivatives-related enforcement actions or litigation.
Live Program & Webcast: $229 Member | $329 Nonmember
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Louis F. Burke
Louis F. Burke PCRonald J. Colombo
Professor of Law and Associate Dean for Distance Education
Maurice A. Deane School of Law at Hofstra UniversityThomas V. D’Ambrosio
Morgan, Lewis & Bockius LLPMichael Eisenkraft
Cohen Milstein Sellers & Toll PLLCMichael Greenberger
Professor of Law
University of MarylandChristian A. Johnson
Widener School of Commonwealth Law SchoolDavid Kovel
Kirby McInerney LLPRobert M. McLaughlin
Fried, Frank, Harris, Shriver & Jacobson LLPDaniel Michael
Chief, Complex Financial Instruments Unit
Securities and Exchange CommissionCharles R. Mills
Steptoe and Johnson, LLPGregory G. Mocek
Allen & Overy, LLPLauren Wagner Pederson
Wagner Pederson LLCManal Sultan
Commodity Futures Trading Commission -
9:00 am – 9:05 am Welcoming Remarks Gary E. Kalbaugh and Robert M. McLaughlin
9:05 am – 10:00 am Anatomy of an Enforcement Action - What is the process by which an enforcement action is initiated in the CFTC?
- What is the process by which an enforcement action is initiated in the SEC?
- Administrative law judges: What impact do Bandimere and Lucia have on enforcement methodology?
- Self-reporting, cooperation benefits, waivers, and non-U.S. data privacy
- How does a typical enforcement action proceed from initiation to final judicial determination?
Moderator: Christian A. Johnson; Panelists: Daniel Michael and Gregory G. Mocek
10:00 am – 10:05 am Break 10:05 am – 10:55 am Anatomy of Civil Litigation – Plaintiff and Defense - How are private rights of action initiated under the Commodity Exchange Act or, for securities-based swaps, the securities acts?
- What are the limitations of Commodity Exchange Act claims?
- The role of CFTC reparation proceedings
- What other statutes are claims related to derivatives brought under?
- Are state claims available or sought?
Moderator: Lauren Pederson; Panelists: Louis Burke, Michael Eisencraft, and David Koval
10:55 am – 11:00 am Break 11:00 am – 12:00 pm Enforcement and Litigation Risks - How do enforcement actions and civil litigation intersect?
- What enforcement risks might market participants be least aware of?
- What circumstances represent the greatest litigation risks?
- Strategies to prevent or mitigate impact of enforcement actions or litigation
- Conducting internal investigations
Moderator: Gary E. Kalbaugh, Ronald J. Colombo, Michael Greenberger, and Charles R. Mills
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CLE Credit
NY: 3.0 professional practice
NJ: 3.3 general MCLE
CA: 3.0 general MCLE
PA: 2.5 general MCLE -
Sponsoring Association Committee: Futures and Derivatives Regulation | Robert M. McLaughlin, Chair
Sponsorship Opportunities are Available! Please Contact:
Maricela Alfonso | Membership and CLE Relations Associate | (212) 382-6608 | MAlfonso@nycbar.org______________________________________________________________