Celesq® Attorneys Ed Center

Program Date: 08/05/2010

Description

The investor protection provisions of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act, H.R. 4173, 111th Cong. (2010), are bound to result in major changes in the world of securities enforcement and regulation. As a result of Dodd-Frank, which provides potentially lucrative bounties for whistleblowers, it is likely that more violations will be reported to the Securities and Exchange Commission (“SEC”), which, in turn will be larger and more powerful. In addition to seeing its budget likely double over the next five years, the SEC will benefit from relaxed proof standards in pursuing secondary actors, expanded jurisdiction over foreign cases, the ability to obtain penalty awards in SEC administrative cases, industry-wide bars for securities professionals, and the ability to subpoena trial witnesses nationally. The SEC will also have the power to impose fiduciary standards on brokers, regulate short selling, restrict customer arbitration agreements, and engage in other extensive rulemaking. Join K&L Gates LLP partners Stephen Crimmins, Kay Gordon, and Matt Morley, as they review key provisions that will impact investors, public companies, securities professionals and their counsel.

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Available in states

Arizona, California, Colorado Eligible, Colorado Homestudy, Florida, Georgia, Missouri, New Jersey Eligible, New York, Texas Self Study

Credit Information

50 minute credit hour - 1 General CLE credit
60 minute credit hour - 1 General CLE credit

State Program Numbers

TX# 901207938 1.0 Gen. (09/15/2010 - 08/31/2011)

Presenters

Stephen J. Crimmins, Esq. K&L Gates	Stephen J. Crimmins, Esq., a partner in the law firm of K&L Gates LLP, represents clients in enforcement investigations and litigation conducted by the Securities and Exchange Commission and other financial services regulators, as well as in private securities litigation. He also leads internal investigations and counsels on regulatory compliance, corporate governance and other SEC-related issues. Mr. Crimmins, who previously practiced with the SEC for 14 years, eight of which were in senior management, has been selected annually for inclusion in "The Best Lawyers in America" (securities law) and has also been selected as a "Washington, D.C. Super Lawyer" (securities litigation). He frequently speaks on SEC-related professional panels, and has published numerous articles on securities litigation.

Kay A. Gordon, Esq. K&L Gates LLP	Kay A. Gordon, Esq., a partner in the New York office of K&L Gates LLP, concentrates her work in the Investment Management practice, with a particular emphasis on hedge funds, private equity funds and compliance-related matters. She also advises clients on a broad range of securities and regulatory matters as well as a variety of financial instruments and transactions, including managed accounts, credit facilities, joint ventures and derivative instruments. A frequent speaker on investment management issues, Ms. Gordon also represents clients in investigations by the SEC.

Matt T. Morley, Esq. K&L Gates LLP	Matt T. Morley, Esq. is a partner in the law firm of K&L Gates LLP, where he concentrates his practice in the Securities Enforcement practice group. Mr. Morley counsels clients on corporate and federal securities law issues, and on legal aspects of corporate crisis management. A graduate of Yale Law School, he frequently provides advice relating to the Foreign Corrupt Practices Act ("FCPA"), internal corporate investigations, investigations by federal and state securities regulators, corporate compliance programs, public company disclosure requirements and the exercise of business judgment by corporate boards of directors.