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New York (NY) Regulatory Law CLE Course Catalog

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All CLE Courses For New York (NY) Regulatory Law

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45 minutes
Global Incident Response: Managing Cyber Incidents Impacting Global Enterprises
Global enterprises dealing with global incidents require efficient communication, coordination, and testing of incident response protocols across different jurisdictions to manage and adhere to regulatory mandates effectively. A panel of cybersecurity law experts discusses coordinating responses and best practices.

Securities Docket

$75

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8 Credit States

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60 minutes
Compliance in Flux: Navigating Risks Amidst Ever Evolving Regulations
This engaging session will explore the intricacies of managing compliance in the face of evolving legal landscapes. Join as our expert panelists provide practical strategies to proactively monitor regulatory changes, navigate risks and ensure organizational resilience.

General Counsel Conference

$65

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11 Credit States

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60 minutes
From Policy to Practice: Privacy Compliance in the Shifting Regulatory Landscape
Join this session as our privacy experts review existing privacy laws, and share their insights into navigating the upcoming risks and changes expected in the privacy space.

General Counsel Conference

$65

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11 Credit States

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-1
59 minutes
Behind the Curtain: The Regulator's Perspective for 2024 and Beyond
Step into the regulatory realm as this session will provide an exclusive glimpse into the evolving landscape of legal compliance and unique insights directly from the source. Our distinguished panel of regulators will explore the priorities, trends, and expectations shaping regulatory frameworks for 2024 and beyond.

General Counsel Conference

$65

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11 Credit States

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45 minutes
Financial Disclosure and Accounting Fraud
Companies are urged to prioritize timely and comprehensive financial disclosure, cooperation, and rebuilding accounts in cases of accounting fraud to avoid enforcement actions and negative market effects, as discussed by SEC and private sector panelists.

Securities Docket

$75

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7 Credit States

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43 minutes
The SEC's Scrutiny of Asset Managers - Key Developments for Broker-Dealers, Private Funds and Hedge Funds
Financial firms are under heightened scrutiny from the SEC, facing investigations and potential penalties for violations related to off-channel communication, recordkeeping and other matters. Expert panelists discuss proactive measures for asset managers and others in cooperating with the SEC to reduce penalties.

Securities Docket

$75

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8 Credit States

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36 minutes
Q&A Discussion with SEC Crypto and Cybersecurity Enforcement Chief David Hirsch
The SEC is putting a strong emphasis on safeguarding investors, ensuring transparency, and enforcing regulations within the cryptocurrency market. The Chief of the SEC's Crypto Unit discusses the agency’s priorities related to cryptocurrencies, such as registration, disclosure, legal frameworks, and cybersecurity measures.

Securities Docket

$75

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8 Credit States

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41 minutes
Insider Trading Enforcement - Key SEC Cases and Prosecutions
A panel of securities law experts, including SEC officials, discusses the latest trends and in insider trading enforcement actions. Discussion of new technological advances, 10b5-1 trading plans, and recent cases. Panelists offer proactive measures and client takeaways.

Securities Docket

$75

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8 Credit States

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45 minutes
Silicon Valley Spotlight – Securities Regulation, Enforcement and Prosecution Trends
Expert panelists discuss recent scrutiny on compliance and recordkeeping requirements in Silicon Valley. Despite the benefits of cooperation with regulatory agencies, recent cases indicate that charges and penalties can still ensue, highlighting the importance of thorough compliance strategies.

Securities Docket

$75

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8 Credit States

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