Celesq® Attorneys Ed Center
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Programs in Securities and Antitrust Litigation

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Is Financial Crime Going Viral? Money Laundering, Fraud and Ponzi Schemes in the Pandemic Era (01/26/2021)

Program Number: 3136 Presenter: Ross S. Delston, Timothy Dunfey, Esq.

Financial crime is a constant whatever the era but in times of crisis criminals become even more creative. Coronavirus ‘cures’, PPEs, testing and vaccines all present attractive opportunities for fraudsters to take advantage of our collective anxiety by selling fakery. Ponzi schemes, a ubiquitous phenomenon, often come to light in times of financial crisis since old investors demand redemption and new investors are hard for fraudsters to find. Finally, in the pandemic, trade-based money laundering, another common criminal scheme, can be used to greater effect due to price gyrations and scarcity in previously available goods and commodities. Learning Objectives: • Distinctions between and among different types of fraud, money laundering and other financial crime; • How to recognize commonly used financial crime schemes; • Why red flags are crucial to legal practitioners in banking, securities, contract, M&A, and consumer fields; Topics are targeted to attorneys in the regulatory, compliance, litigation and criminal

$95.00Audio Tape Add to Cart

Lessons in Disaster: Learning from Law Firm Cyber Breaches (02/23/2021)

Program Number: 3134 Presenter: Mark Sangster

Given an outcome, we often exaggerate our ability to predict and therefore avoid the same fate. In cybersecurity, this misconception can lead to a false sense of corporate security, or worse, bury the true causes of incidents and lead to repeated data breaches or business disrupting cyber incidents. In this session, we will explore real-world incidents and threats to assemble an actionable cyber resilience framework that adapts to distributed assets, remote workers, and virtual workloads.

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The SEC’s Whistleblower Program in 2021 and Beyond (02/24/2021)

Program Number: 3129 Presenter: Jay A. Dubow, Esq., Robert L. Hickok, Esq., Kaitlin L. Meola, Esq.

The Securities and Exchange Commission’s Whistleblower Program was created in 2010 to assist the SEC in discovering securities law violations by providing incentives for individuals to report possible violations. The Program has been successful; to date, the SEC has received tens of thousands of whistleblower tips, resulting in more than $2 billion in monetary sanctions, and has awarded more than $700 million to whistleblowers whose tips resulted in enforcement actions. On September 23, 2020, the SEC voted to amend the Program’s rules in order “to provide greater clarity to whistleblowers and increase the program’s efficiency and transparency.” The amendments—effective December 7, 2020—include changes to the way the SEC determines awards, changes that streamline the process for submitting and evaluating tips, and clarifies various definitions. The changes may incentivize whistleblowers to report possible securities law violations, and companies should ensure that their internal whistleblower policies are current and provide adequate internal processes for

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What is “Authorized Access” and How Do Employers Deal with Misuse of Access Credentials Post-VanBuren vs United States (02/03/2021)

Program Number: 3122 Presenter: Michelle A. Schaap, Esq.

As this summary is being written on December 1, 2020, the United States Supreme Court is considering the fate of the Computer Fraud and Abuse Act (“CFAA”) in Van Buren v. United States. CFAA had been used by employers in certain circuit courts successfully to hold employees accountable for misuse and/or misappropriation of employers’ data to which the employees were otherwise authorized to access in the course of their employment. At the time this program is presented, we expect the Court will have rendered its ruling in Van Buren. Regardless of the fate of the CFAA, employers can and should employ other means, statutorily, contractually, and technologically, to protect their trade secrets and other confidential and proprietary information from misuse, exfiltration and alteration. Moreover, for employers who are attorneys, they are ethically required to not only keep client information confidential, but to stay abreast technology that may facilitate the protection of

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The Trouble with TikTok & Other Cautionary Foreign Investment Tales: Navigating the New CFIUS Landscape (02/19/2021)

Program Number: 3117 Presenter: David Hall, Esq., Tahlia Townsend, Esq.

As headline grabbing actions around TikTok, StaynTouch, Grindr, and PatientsLikeMe demonstrate, the risks associated with foreign investment in the U.S. have substantially increased. New regulations significantly tightened the rules governing overseas investment into U.S. businesses in 2020, dramatically expanding the circumstances in which pre-investment notification to the Committee on Foreign Investment in the United States (CFIUS) is either mandatory or recommended. This session will cover when foreign investments in the U.S. may trigger mandatory pre-transaction notification requirements, and when voluntary notification may be advisable; the impact of the recent increased focus on security of sensitive personal data; why understanding U.S. export controls is now essential to the CFIUS analysis; the key steps and timelines for making a CFIUS filing; the consequences of not making a filing when required or recommended; and key recommendations for investment due diligence and planning.

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Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice Notes (01/14/2021)

Program Number: 3103 Presenter: Jay A. Dubow, Esq., Mary Grace W. Metcalfe, Esq., Ghillaine A. Reid, Esq.

Challenging an ongoing investigation by the SEC is a daunting task, particularly for those identified as subjects of the investigation. Two recent holdings, one by the Third Circuit in Gentile v. Sec. & Exch. Comm’n, 2020 WL 5416297 (3d Cir. Sept. 10, 2020) and the other by the United States District Court for the District of New Jersey in Sec. & Exch. Comm’n v. Gentile, 16-cv-01619-BRM-JAD (Order Sept. 29, 2020), both of which involved the same parties, offer some clarification on when and how best to mount such a challenge. The Third Circuit’s opinion makes clear that the SEC’s ability to investigate is one of the “rare circumstances” in which an agency’s action is exempt from the waiver of sovereign immunity that might otherwise apply under the Administrative Procedure Act and, as a result, is not subject to judicial review. By contrast, the district court’s opinion reinforces that, once an investigation

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To Trade Secret or Not to Trade Secret- That is THE Question! (06/10/2020)

Program Number: 3094 Presenter: David Postolski, Esq.

Keeping something secret is hard! Especially when it comes to what gives your business a competitive advantage. If you can legally and commercially manage to do this, then you can achieve Federal Rights for the first time in US history since 2016. This presentation will explore best practices, steps and strategies in ensuring that what you have as a trade secret can achieve maximum protection. This presentation will also explore the opposite of a Trade Secret, the Patent and the interplay between these types of intellectual property so that your clients can make an informed decision!

$95.00Online Audio Add to Cart

The Law of Insider Trading: Why It Is Such a Mess (05/05/2020)

Program Number: 3085 Presenter: Tai H. Park, Esq.

This program will explain the principles of the insider trading law under Section 10(b) of the Securities Exchange Act and describe why it has proven to be so difficult to apply consistently. In recent years, the underlying, conceptual problem in the law was highlighted when judges of the Second Circuit sharply disagreed with each other in two high profile cases. In U.S. v. Newman, a unanimous panel reversed the conviction after trial of two hedge fund portfolio managers, declaring that their alleged insider trading conduct was in fact not illegal. Just a few years later, in U.S. v. Martoma, a different panel of Second Circuit judges affirmed the conviction of another portfolio manager as it disagreed with the thrust of the Newman opinion. A dissenting judge in Martoma wrote a vigorous dissent accusing the majority of flatly contradicting Newman. This split remains unresolved. In a new Second Circuit

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Important Differences Between Federal and State Antitrust & Consumer Protection Laws (03/04/2020)

Program Number: 3030 Presenter: Robert M. Langer, Esq.

Federal and state antitrust laws, as well as the Federal Trade Commission Act and its state analogues, differ significantly, both substantively and procedurally. Bob Langer, who has written and spoken on this vital topic for more than forty years, and is the co-author of the treatise, “Unfair Trade Practices, Business Torts and Antitrust,” will discuss many of the most critically important differences that practitioners who litigate or counsel in this area of law should know. It is indeed a veritable trap for the unwary.

$95.00Online Audio Add to Cart

Evaluating the Evolving Climate of ESG Disclosures (10/27/2020)

Program Number: 30261 Presenter: Katayun (Kathy) Jaffari, Esq., Lindsey Stillwell, Esq., Christine Zoino, Esq.

The topic of ESG has garnered significant attention in recent years as investors have increasingly used ESG criteria as a means of evaluating the growth potential and future viability of public companies. Despite the increased attention to ESG disclosures, public companies have not uniformly adopted ESG disclosure techniques and thresholds. This presentation discusses the current disclosure requirements and guidance issued by regulatory authorities to examine best practices for companies determining appropriate ESG disclosures in future reports.

$95.00Audio Tape Add to Cart

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