Financial services 40-minute briefings - Securities and derivatives – recent SEC and CFTC enforcement trends

Lunch seminar

November 2, 2017 | 11:30 am - 1:00 pm ET | New York, NY, US | Accreditation 1.00 CLE

Please join us for a discussion on the latest SEC and CFTC enforcement trends.


November 2 – Securities and derivatives – recent SEC and CFTC enforcement trends

This program will focus on recent developments and emerging priorities in SEC and CFTC enforcement. In recent years, the SEC and CFTC have pressed forward with broad and aggressive enforcements programs. With new leadership setting the agenda at the SEC and the CFTC, what changes can the industry expect to see? What enforcement priorities will the SEC and CFTC be focusing on as they continue to police the markets?

Our program will help you keep up with the latest enforcement developments and will offer practical insights for avoiding and responding to SEC and CFTC investigations.

Topics will include:

  • Financial and accounting fraud
  • SEC cyber initiatives
  • Insider trading developments
  • Spoofing cases
  • Whistleblower update




Kevin James Harnisch

Kevin James Harnisch

Head of SEC Enforcement, United States, Norton Rose Fulbright US LLP


11:30 am - Registration
12:00 pm - Program begins
1:00 pm - Program adjourns 

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