Linda Chatman Thomsen and Nora Jordan to Speak at PLI’s 48th Annual Institute on Securities Regulation
November 2-4, 2016
New York, NY

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.

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