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Browse: Home / Conferences

Conferences

SEC Enforcement Division: “Business as Usual” as Securities Enforcement Leaders Gather Virtually for Securities Enforcement Forum West 2020

By Securities Docket on May 19, 2020, 5:29 pm

Like most of the rest of the world, the speakers and attendees at Securities Enforcement Forum West 2020 last week had to adapt this year by trading in their microphones on the stage of a grand ballroom for an array of home offices and Zoom backgrounds. But the panels themselves, several of which have become […]

Posted in Industry, SEC, Top | Tagged Conferences, Securities Enforcement Forum

Panelists Discuss Their “One Big Thing” for Securities Enforcement Forum West 2020

Panelists Discuss Their “One Big Thing” for Securities Enforcement Forum West 2020

By Securities Docket on May 4, 2020, 11:36 am

Securities Enforcement Forum West 2020 panelists offer their “One Big Thing” to take away from this year’s event.

Posted in Industry, Top | Tagged Conferences, SEF West

Enforcement Co-Director Peikin touts self-reporting, creative remedies at Securities Docket conference

By Securities Docket on October 30, 2019, 10:53 am

Steve Peikin, co-director of the SEC’s Division of Enforcement, recently participated in a panel discussion at the Securities Docket 2019 Enforcement Forum. Peikin addressed recent Division initiatives, such as its Share Class Selection Disclosure Initiative, as well as the SEC’s approach to remedies and settlements. via Jim Hamilton’s World of Securities Regulation: Enforcement Co-Director Peikin […]

Posted in SEC, Top | Tagged Conferences

Dispatches from Securities Enforcement Forum 2019 – Radical Compliance

By Securities Docket on October 29, 2019, 5:05 pm

Several hundred securities enforcement professionals gathered in Washington on Wednesday for the 2019 Securities Enforcement Forum. Radical Compliance couldn’t be there in person, so we gathered a bundle of dispatches from social media to give a flavor of what was discussed. After all, when under SEC investigation, you want the experience to be as enjoyable […]

Posted in Industry, Top | Tagged Conferences

Cryptocurrencies, ICOs, and blockchain technology get multi-pronged attention at SEC Speaks 2018 | Eversheds Sutherland

By Securities Docket on February 28, 2018, 10:01 am

Cryptocurrencies and initial coin offerings (ICOs) were a recurring area of focus in presentations by multiple divisions of the Securities and Exchange Commission at its annual “The SEC Speaks” conference in Washington, DC on February 23-24, 2018. While the SEC does not seem to have reached consensus yet on how to treat this new, rapidly […]

Posted in SEC, Top | Tagged Conferences

SEC’s Top 3 Enforcement Priorities — Think Advisor

By Securities Docket on November 14, 2017, 1:35 pm

Retail investors, cybersecurity and financial fraud. Those are the three priorities for the SEC’s enforcement division, according to its co-director Stephanie Avakian. via SEC’s Top 3 Enforcement Priorities — Think Advisor

Posted in SEC, Top | Tagged Conferences

Highlights from Securities Enforcement Forum West 2017

Highlights from Securities Enforcement Forum West 2017

By Securities Docket on June 5, 2017, 1:48 pm

Photos and highlights from Securities Enforcement Forum West 2017.

Posted in Industry, People, Top | Tagged Conferences, SEF West

Uncertainty Looms Over SEC Enforcement Staff – White Collar Briefly

By Securities Docket on January 30, 2017, 11:57 am

The air of uncertainty was palpable as current and former members of the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement spoke at the Securities Regulation Institute’s 44th Annual Conference in Coronado, California earlier this week.  Important questions went largely unanswered about the impact of the recent resignations of both SEC Chair Mary Jo […]

Posted in SEC, Top | Tagged Conferences

Highlights from Securities Enforcement Forum West 2016

Highlights from Securities Enforcement Forum West 2016

By Securities Docket on May 30, 2016, 7:38 pm

Photos and highlights from Securities Enforcement Forum West 2016.

Posted in Industry, SEC, Top | Tagged Conferences, SEF West

Photos and Highlights from Securities Enforcement Forum West 2015

Photos and Highlights from Securities Enforcement Forum West 2015

By Securities Docket on June 2, 2015, 4:56 pm

Photos and highlights from Securities Enforcement Forum West 2015.

Posted in Criminal, Industry, People, SEC, Top | Tagged Conferences, Securities Enforcement Forum

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