Regulatory Compliance Association Reviews

SEC Chairman Mary Jo White – An Era of Bold Unrelenting Enforcement

Practice Edge 02

In becoming the 31st Chairman of the Securities and Exchange Commission this April, Mary Jo White promised to strengthen the enforcement function of the SEC, so that it is “fair, but . . . bold and unrelenting.” Just three months into office, the new Chairman has already begun to live up to her promise. Indeed, Chairman White has already announced a major shift in SEC policy – stating that the SEC would no longer permit “neither admit nor deny” settlements in certain cases.

In this PracticeEdge Session, a panel of expert Senior Fellows from Practice (including government officials, white collar defense attorneys, and private funds lawyers) will examine the current era of bold enforcement – both by the SEC and the Department of Justice. Among other things, they will discuss:

  • The new players in the SEC enforcement space;
  • The new “neither admit nor deny” settlement policy;
  • The recent 10b5-1 plan insider trading investigations;
  • Insider trading, the STOCK Act, and the use of political intelligence firms;
  • The current insider trading enforcement environment;
  • Possible best practices when using expert networks;
  • The government’s use of wire taps and other high tech techniques to investigate white collar cases; and
  • Other recent private fund enforcement initiatives.

Session Chairman:
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow From Practice:
George Mazin,  JD, Partner, Dechert

Guest Lecturers:
David Chaves,  JD, Special Supervisory Agent, FBI
Adam Wasserman,  JD, Partner, Dechert
Jonathan Streeter,  JD, Partner, Dechert
Brendan Kalb,  JD, GC, AQR Capital
Daniel Margolis,  JD, GC, Ellington Management Group
Michael Neus, JD, GC, Perry Capital
Catherine Smith, JD, General Counsel, Guidepoint Global

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