Davis Polk partners Linda Chatman Thomsen and Nora Jordan will be among the speakers at PLI’s 48th Annual Institute on Securities Regulation.
Chatman Thomsen will moderate the “Defense Perspective: Strategies and Practical Considerations from the Source” panel. Topics discussed will include:
- Civil and Criminal Enforcement Priorities and Trends
- Successful Defense Strategies
- Compliance in the Cross-Hairs
- Managing Multi-Agency and Cross-Border Investigations
- Dealing with Whistleblowers and Anti-Retaliation Protections
Jordan will speak on the “Securities Laws Q&A: 20 Questions in 60 Minutes” panel. Topics discussed will include:
- Registration Issues Under the ‘33 Act
- New Burdens and Pitfalls for the Compliance Function
- Broken-Dealer Regulation, Including FINRA
- ‘40 Act Traps for the Unwary
- Increased Scrutiny of the Asset Management Function, Including the “Fiduciary” Standard
The program will be held November 2-4, 2016, in New York.
For more information, please visit the event website.