Agenda

Agenda

Monday, September 19, 2016

08:00 am Registration
09:00 am Welcoming Remarks, Programme Structure, and Objectives
09:15am
Key Elements for Building an Effective Enforcement Program

Speaker:

  • Z. Scott Birdwell

       -Assistant Director       
        -Office of International Affairs        
       -U.S. Securities and Exchange Commission

10:45am Break
11:00am
Broker Dealer and Investment Manager Enforcement


This session will focus on the types of cases brought against broker-dealers, investment managers and their associated persons. Violations include boiler rooms, fraudulent statements, unauthorized transactions, front running, churning, excessive mark-ups, commingling of investor assets, anti-money laundering compliance failures and failure to supervise. The session will cover specific investigative steps and case studies.

Speaker:

  • David A. Glockner

       -Regional Director        
       -Chicago Regional Office        
       -U.S. Securities and Exchange Commission

12:30 pm Lunch
2:00 pm
International Enforcement Cooperation


The internationalization of the world’s securities markets and the increased frequency of cross-border trading activity have created a more challenging enforcement and examination environment. Frequently, investigating and prosecuting securities law violations in one country requires gathering information located outside that country. Therefore, it is of critical importance for securities regulators around the world to cooperate in providing access to information necessary for the prevention, detection, and prosecution of securities law violations. International enforcement efforts and techniques will be discussed, as well as the use of the IOSCO Multilateral Memorandum of Understanding. The session will also feature a discussion of tracing, freezing and repatriating assets located in foreign countries.

Speakers:

  • Marlee Engel

       -Senior Counsel        
       -Office of International Affairs        
       -U.S. Securities and Exchange Commission

  • Z. Scott Birdwell
3:30 pm Break
3:45 pm
Hypothetical Case Study/Workshop on Investigating and Prosecuting a Compliance Failure at a Broker-Dealer (including a front running violation).


Speakers:

  • David A. Glockner
  • Marlee Engel
  • Z. Scott Birdwell
5:00 pm End of Day’s Programme

Tuesday, September 20, 2016

09:00 am
Effective Coordination between Regulatory and Criminal Law Enforcement Authorities


Speaker:

  • David Glockner
  • Marlee Engel
10:30 am Break
10:45am
Investigating and Prosecuting Insider Trading

The speaker will discuss methods for successfully investigating and prosecuting illegal insider trading.

Speaker:

  • Z. Scott Birdwell
12:30 pm Lunch
2:00 pm
Market Intelligence, Data Analytics and Market Surveillance


This session will discuss how to handle complaints, tips and referrals, and how this information can inform enforcement priorities and result in successful cases.


Speakers:

  • David Glockner
  • Speaker from FINRA
3:30 pm Break
3:45 pm
Hypothetical Case Study/Workshops: Investigating and Prosecuting an Insider Trading Scheme.


Speakers:

  • David A. Glockner
  • Marlee Engel
  • Z. Scott Birdwell
5:00 pm End of Day’s Programme

Wednesday, September 21, 2016

09:00 am Financial Accounting and Disclosure Fraud by Stock Issuing Companies

This session will cover the basic legal requirements governing financial reporting; the sources from which these investigations arise; the common types of financial fraud schemes; the documents that should be obtained and reviewed by the company and the company’s auditor; the individuals who should be called to testify; the concept and value of “credit for cooperation” in the context of such cases; and appropriate sanctions to address such conduct. These concepts will be illustrated through references to the SEC case study.


Speaker:

  • David A. Glockner
  • Marlee Engel
10:30 am Break
10:45am Remedies, Settlements and Credible Deterrence for Securities Law Violations

This session will outline the range of civil and administrative sanctions and remedies available to combat securities law violations. The session will include a discussion of, among other remedies, disgorgement, civil penalties and industry bars. The session will also examine various concepts and strategies in settling enforcement cases, credit for cooperation and managing enforcement resources.


Speaker:

  • Z. Scott Birdwell
12:30 pm Lunch
2:00 pm
Investigating and Prosecuting Market Manipulation


Common techniques that fraudsters use to carry out their scams include e-mail spam; Internet chat rooms; paid promoters; questionable press releases; and boiler rooms. The common element of all of these schemes is that they are designed to “pump up” the price of a security by encouraging investor demand so that the promoters can “dump” the securities they hold on the unsuspecting public at inflated prices. The speaker will discuss techniques and procedures for investigating and prosecuting market manipulation cases. Case studies will be presented to illustrate the investigation and prosecution of various forms of market manipulation.



Speakers:

  • Marlee Engel
3:30 pm Break
3:45 pm
Hypothetical Case Study/Workshops: Investigating and Prosecuting a Market Manipulation Scheme.


Speakers:

  • David A. Glockner
  • Marlee Engel
  • Z. Scott Birdwell
5:00 pm End of Day’s Programme

Thursday, September 22, 2016

09:00 am
Cybersecurity and the Capital Markets


Speaker:

  • David Glockner
10:45 am Break
12:30 pm Lunch
2:00 pm
Hypothetical Case Study/Workshops: Investigating and Prosecuting an Issuer Disclosure Violation


Speakers:

  • David A. Glockner
  • Marlee Engel
  • Z. Scott Birdwell
3:30 pm Break
3:45 pm Closing Remarks
Presentation of Programme Certificates