Webcasts Archives

In the current market environment, strong pre-IPO readiness can position companies to more swiftly access IPO market windows. This recorded presentation explores preliminary planning, structuring and governance considerations for private companies considering an IPO. Our lawyers also discuss alternative exit strategies and how steps taken to prepare for an IPO can be beneficial to companies that ultimately do not go public. Join our team of capital markets panelists in the first installment of our 2022 Series – IPO and Public Company Readiness.

PANELISTS:

Aaron Briggs is a partner in Gibson Dunn’s San Francisco office, where he works in the firm’s Securities Regulation and Corporate Governance practice group. Mr. Briggs’ practice focuses on advising public companies of all sizes (from pre-IPO to mega-cap), with a focus on technology and life sciences companies, on a wide range of disclosure, compliance, corporate governance, investor communications and ESG matters. Prior to re-joining the firm in 2018, Mr. Briggs served as Executive Counsel – Corporate, Securities & Finance at GE.

Evan M. D’Amico is a partner in Gibson Dunn’s Washington, D.C. office, where his practice focuses primarily on mergers and acquisitions. Mr. D’Amico advises companies, private equity firms, boards of directors and special committees in connection with a wide variety of complex corporate matters, including mergers and acquisitions, asset sales, leveraged buyouts, spin-offs and joint ventures. He also has experience advising issuers, borrowers, underwriters and lenders in connection with financing transactions and public and private offerings of debt and equity securities. Mr. D’Amico has particular expertise in advising special purpose acquisition companies (SPACs), operating companies and investors in connection with SPAC business combinations and financing transactions.

Julia Lapitskaya is a partner in Gibson Dunn’s New York office and a member of the firm’s Securities Regulation and Corporate Governance practice group. Ms. Lapitskaya advises clients on a wide range of securities and corporate governance matters, with a focus on SEC and listing exchanges’ compliance and reporting requirements, corporate governance best practices, annual meeting matters, shareholder activism, board and committee matters, ESG and executive compensation disclosure issues, including as part of initial public offerings and spin-off transactions.

Eric M. Scarazzo is a partner in Gibson Dunn’s New York office. He is a member of the firm’s Capital Markets, Securities and Regulation and Corporate Governance, Power and Renewables, Global Finance, and Mergers and Acquisitions practice groups. As a key member of the capital markets practice, Mr. Scarazzo is involved in some of the firm’s most complicated and high-profile securities transactions. Additionally, he has been a certified public accountant for over 20 years. His deep familiarity with both securities and accounting matters permits Mr. Scarazzo to play an indispensable role supporting practice groups and offices throughout the firm. He provides critical guidance to clients navigating the intersection of legal and accounting matters, principally as they relate to capital markets financings and M&A disclosure obligations.

Harrison Tucker is an associate in Gibson Dunn’s Houston office, where he currently practices with the firm’s Capital Markets, Mergers and Acquisitions and Securities Regulation and Corporate Governance practice groups. He represents public and private businesses in a broad range of corporate and securities matters. Mr. Tucker represents issuers and investment banking firms in both equity and debt offerings, including Rule 144A offerings. His practice also includes mergers and acquisitions and general corporate concerns, including Exchange Act reporting and corporate governance.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.0 credit hour, of which 1.0 credit hour may be applied toward the areas of professional practice requirement. This course is approved for transitional/non-transitional credit.

Attorneys seeking New York credit must obtain an Affirmation Form prior to watching the archived version of this webcast. Please contact CLE@gibsondunn.com to request the MCLE form.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

The real estate leasing market is booming in some locations and industries, but restructurings may be on the horizon with rising interest rates and the ongoing impact of COVID. Join our panel of experts for a recorded discussion on how leases could be treated in bankruptcy, including (a) whether the leases will be treated as “residential” or “non-residential” and why you should care; (b) whether your master lease will withstand an attempt to treat it as severable, capable of partial rejection and assumption; (c) whether your lease could be recharacterized as an unsecured disguised financing; (d) the enforceability of a right of first refusal; and (e) the impact of bankruptcy on a month-to-month tenancy, as well as strategies you can implement now to mitigate risks in the next cycle.

PANELISTS:

Robert A. Klyman is a Partner in the Los Angeles office of Gibson, Dunn & Crutcher and Co-Chair of Gibson Dunn’s Business Restructuring and Reorganization Practice Group. In his international practice, Mr. Klyman represents companies, lenders, ad hoc groups of secured and unsecured creditors, acquirers and boards of directors in all phases of restructurings and workouts. His experience includes representing lenders and bondholders in complex workouts; advising debtors in connection with traditional, prepackaged and ‘pre-negotiated’ bankruptcies; counseling strategic and financial players who acquire debt or provide financing as a path to take control of companies in bankruptcy; structuring and implementing numerous asset sales through Section 363 of the Bankruptcy Code; and litigating complex bankruptcy and commercial matters arising in chapter 11 cases, both at trial and on appeal.

Steven Klein is a Partner in the New York office of Gibson, Dunn & Crutcher and is a member of Gibson Dunn’s Real Estate Practice Group. Mr. Klein’s practice covers a broad range of real estate transactions, including acquisitions and dispositions, joint ventures, financings, leasing, construction and development, restructurings and recapitalizations. He also has substantial experience in REIT offerings, REIT mergers and formation of investment funds. He has advised clients on securitized funding agreements, permanent and mezzanine loan agreements, loan restructuring agreements, partnership and limited liability company agreements, private placement memoranda, property management agreements, retail and office leases and regional shopping centre agreements.

Kim Schlanger is a Partner in the Houston office of Gibson, Dunn & Crutcher and a member of the firm’s Real Estate Practice Group. Ms. Schlanger’s practice covers a broad range of commercial real estate transactions, including advising developers and investors in connection with the development, financing, acquisition and disposition of a variety of asset classes, including office buildings, multi-family developments, hotels and mixed-use projects throughout the United States. She has been involved in the development of many landmark buildings across the country. Ms. Schlanger has extensive experience in the structuring and negotiation of joint venture agreements (both single-asset and “programmatic”) for the purpose of commercial and residential real estate acquisition and development.

Matthew G. Bouslog is Of Counsel in the Orange County office of Gibson, Dunn & Crutcher LLP where he practices in the firm’s Business Restructuring and Reorganization Practice Group. Mr. Bouslog specializes in representing companies in complex restructuring matters. Mr. Bouslog was recognized in 2021 Best Lawyers: Ones to Watch for his work in (i) Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law and (ii) Real Estate Law. Mr. Bouslog frequently represents debtors, creditors, and other interested parties in out-of-court and in-court restructurings, distressed acquisitions, and bankruptcy-related litigation.

Michael Farag is an associate in the Los Angeles office of Gibson, Dunn & Crutcher. He currently practices with the firm’s Business Restructuring and Reorganization Practice Group. Mr. Farag focuses on complex restructuring and insolvency proceedings. Prior to joining the firm, Mr. Farag served as a judicial law clerk in the United States Bankruptcy Court for the Central District of California, first for the Honorable Martin R. Barash, then for the Honorable Robert N. Kwan.

MCLE CREDIT INFORMATION:

Attorneys seeking New York credit must obtain an Affirmation Form prior to watching the archived version of this webcast. Please contact CLE@gibsondunn.com to request the MCLE form.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

Join our panelists from Gibson Dunn’s Environmental Litigation and Mass Tort practice group and Environment, Social, and Governance (ESG) practice area as they discuss significant developments in federal and California environmental law and forecast what to expect for 2022. This webcast covers a range of topics of significant interest to regulated industries, including ongoing and anticipated rulemakings, federal enforcement targets and initiatives, the evolving ESG landscape, and more.

PANELISTS:

Rachel Levick Corley is a partner in the Washington, D.C. office and a member of the Environmental Litigation and Mass Tort Practice Group. Ms. Corley represents clients in a wide range of federal and state litigation, including agency enforcement actions, cost recovery cases, and administrative rulemaking challenges.

David Fotouhi is a partner in the Washington D.C. office and a member of the Environmental Litigation and Mass Tort Practice Group. Mr. Fotouhi rejoined the firm in 2021 after serving as Acting General Counsel at the EPA, where he helped to develop the litigation strategy to defend the Agency’s actions from judicial challenge. Mr. Fotouhi combines his expertise in administrative and environmental law with his litigation experience and a deep understanding of EPA’s inner workings to represent clients in enforcement actions, regulatory challenges, and other environmental litigation.

Abbey Hudson is a partner in the Los Angeles office and a member of the Environmental Litigation and Mass Tort Practice Group. Ms. Hudson’s practice focuses on helping clients navigate environmental and emerging regulations and related governmental investigations. She has handled all aspects of environmental and mass tort litigation and regulatory compliance. She also provides counseling and advice to clients on environmental and regulatory compliance for a wide range of issues, including supply chain transparency requirements, comments on pending regulatory developments, and enforcement.

Michael Murphy is a partner in the Washington, D.C. office, a co-lead of the firm’s Environmental, Social and Governance (ESG) practice area, and a member of the Environmental Litigation and Mass Tort and Administrative Law and Regulatory Practice Groups. Mr. Murphy counsels clients on environmental, ESG and sustainability matters, including corporate disclosures, policies, reporting and integration issues. He also represents clients in a wide variety of investigation and litigation matters, including toxic tort , and class actions, as well as administrative litigation, rulemaking proceedings, and permit actions to obtain government approval for infrastructure projects.

MCLE CREDIT INFORMATION:

This course is approved for transitional/non-transitional credit. Attorneys seeking New York credit must obtain an affirmation form prior to watching the archived version of this webcast. Please contact CLE@gibsondunn.com to request the MCLE form.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

Please join us for a discussion about FCPA developments and emerging trends from 2021. Intended to complement our Year-End FCPA Update, this webcast discusses in greater detail recent FCPA enforcement updates of note, the Biden Administration’s focus and initiatives on combating corruption, and the increasing interplay between anti-corruption and anti-money laundering efforts. We also discuss key takeaways from these developments, including with respect to anti-corruption compliance program trends and recommendations. Download our FCPA Year-End Update.

PANELISTS:

Patrick Stokes is Co-Chair of the firm’s Anti-Corruption and FCPA Practice Group and a partner in the Washington, D.C. office, where he focuses his practice on internal corporate investigations, government investigations, enforcement actions regarding corruption, securities fraud, and financial institutions fraud, and compliance reviews. Mr. Stokes is ranked nationally and globally by Chambers USA and Chambers Global as a leading attorney in FCPA. Prior to joining the firm, Mr. Stokes headed the DOJ’s FCPA Unit, managing the FCPA enforcement program and all criminal FCPA matters throughout the United States covering every significant business sector. Previously, he served as Co-Chief of the DOJ’s Securities and Financial Fraud Unit.

John W.F. Chesley is a partner in the Washington, D.C. office. Mr. Chesley has been recognized repeatedly recognized for his white collar defense work by Global Investigations Review’s “40 Under 40,” as well as Law 360’s “Rising Stars”. He represents corporations, audit committees, and executives in internal investigations and before government agencies in matters involving the FCPA, procurement fraud, environmental crimes, securities violations, antitrust violations, and whistleblower claims. He also litigates government contracts disputes in federal courts and administrative tribunals.

Ella Capone is a senior associate in the Washington, D.C. office, where she is a member of the White Collar Defense and Investigations and Anti-Money Laundering practice groups. Her practice focuses primarily in the areas of white collar criminal defense, corporate compliance, and securities litigation. Ms. Capone regularly conducts internal investigations and advises multinational corporations and financial institutions, on compliance with anti-corruption and anti-money laundering laws and regulations.

Joseph Warin is Co-Chair of Gibson Dunn’s global White Collar Defense and Investigations Practice Group, and he is chair of the over 200-person Litigation Department of the Washington, D.C. office. Mr. Warin is ranked in the top-tier year after year by Chambers USA, Chambers Global, and Chambers Latin America for his FCPA, fraud and corporate investigations experience. He has handled cases and investigations in more than 40 states and dozens of countries involving federal regulatory inquiries, criminal investigations and cross-border inquiries by international enforcers, including UK’s SFO and FCA, and government regulators in Germany, Switzerland, Hong Kong, and the Middle East. Mr. Warin has served as a compliance monitor or counsel to the compliance monitor in three separate FCPA monitorships, pursuant to settlements with the SEC and DOJ.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 2.0 credit hours, of which 2.0 credit hours may be applied toward the areas of professional practice requirement.

This course is approved for transitional/non-transitional credit. Attorneys seeking New York credit must obtain an Affirmation Form prior to watching the archived version of this webcast. Please contact CLE@gibsondunn.com to request the MCLE form.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 2.0 hours.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

With the backdrop of the continuing COVID-19 pandemic and high M&A volume, 2021 presented new issues for dealmakers. Hear from seasoned practitioners on how deals are getting done and the issues being confronted. This discussion covers various M&A-related topics, including the following:

• Key deal issues to navigate in light of increased antitrust regulatory scrutiny;
• Limitations on liability for fraud;
• Clauses to include in deal documents to avoid pitfalls; and
• Current state of play for SPAC transactions, and forecasts for the future.

PANELISTS:

Quinton C. Farrar is a corporate partner in the New York office of Gibson, Dunn & Crutcher. Mr. Farrar advises public and privately held companies, including private equity sponsors and their portfolio companies, investors, financial advisors, boards of directors and individuals in connection with a wide variety of complex corporate matters, including mergers and acquisitions, asset sales, leveraged buyouts, spin-offs, joint ventures and minority investments and divestitures. He also has substantial experience advising clients on corporate governance issues as well as in advising issuers and underwriters in connection with public and private issuances of debt and equity securities.

Abtin Jalali is a partner in the San Francisco office of Gibson, Dunn & Crutcher. He is a member of Gibson Dunn’s Private Equity and Mergers and Acquisitions Practice Groups. Mr. Jalali has extensive experience representing private equity firms and their portfolio companies in all aspects of their businesses, with a focus on mergers and acquisitions, divestitures, growth equity investments, minority investments and general corporate matters. Mr. Jalali’s representative private equity clients include Serent Capital, True Wind Capital, TPG Capital, FTV Capital, Gryphon Investors and Tower Arch Capital.

Robert B. Little is a partner in Gibson, Dunn & Crutcher’s Dallas office. He is a Global Co-Chair of the Mergers and Acquisitions Practice Group. Mr. Little has consistently been named among the nation’s top M&A lawyers every year since 2013 by Chambers USA. Admired by clients as “very efficient, always knowledgeable in the subjects with immediate recommendations for action” and “an excellent corporate attorney well suited for negotiating tough deals” (Chambers, 2021), his practice focuses on corporate transactions, including mergers and acquisitions, securities offerings, joint ventures, investments in public and private entities, and commercial transactions. Mr. Little has represented clients in a variety of industries, including energy, retail, technology, infrastructure, transportation, manufacturing, and financial services.

Kristen P. Poole is a corporate partner in the New York office of Gibson, Dunn & Crutcher, where her practice focuses on mergers and acquisitions and private equity. Ms. Poole represents both public and private companies, as well as financial sponsors, in connection with mergers, acquisitions, divestitures, minority investments, restructurings and other complex corporate transactions. She also advises clients with respect to general corporate governance matters and shareholder activism matters.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

Gibson, Dunn & Crutcher LLP is authorized by the Solicitors Regulation Authority to provide in-house CPD training. This program is approved for CPD credit in the amount of 1.0 hour. Regulated by the Solicitors Regulation Authority (Number 324652).

Application for approval is pending with the Colorado, Illinois, Texas, Virginia and Washington State Bars.

Most participants should anticipate receiving their certificates of attendance via e-mail in approximately 4-6 weeks following the webcast.

Members of the Virginia Bar should anticipate receiving the applicable certification forms in approximately 6-8 weeks.

This presentation will explore the ethical, legal, and practical principles implicated by parallel investigations by multiple government authorities. The presentation will discuss the ever-increasing rise in parallel investigations (whether by different agencies within the federal government, across state lines, or between the state and federal governments), and will discuss the specific issues that may be posed by such investigations.

View Slides (PDF)

PANELISTS:

Winston Y. Chan is a litigation partner in Gibson, Dunn & Crutcher’s San Francisco office. He has particular experience leading matters involving government enforcement defense, internal investigations and compliance counseling, and regularly represents clients before and in litigation against federal, state and local agencies, including the U.S. Department of Justice, Securities and Exchange Commission and State Attorneys General. Mr. Chan is Co-Chair of the firm’s False Claims Act/Qui Tam Defense practice group.

Diana M. Feinstein is a partner in the Los Angeles office of Gibson, Dunn & Crutcher. She is a member of the firm’s Securities Litigation and White Collar Defense and Investigations Practice Groups.Ms. Feinstein’s practice focuses on complex litigation, including securities litigation and high-value commercial litigation.She also focuses on white collar defense and investigations. She has handled matters across a variety of industries, including financial services, technology, entertainment, insurance, healthcare, transportation, real estate, manufacturing, and consumer products.Ms. Feinstein has represented clients in a variety of matters across the United States in cases involving breach of contract, shareholder disputes, breach of fiduciary duty claims, fraud claims, securities law violations, employment disputes and other matters.

Douglas M. Fuchs is a partner in Gibson, Dunn & Crutcher’s Los Angeles office. Mr. Fuchs is the co-chair of the firm’s Los Angeles Litigation Department. He also is a member of the firm’s White Collar Defense and Investigations, Securities Enforcement and Securities Litigation Practice Groups. Mr. Fuchs has a special expertise in representing corporations and individuals in white collar criminal, SEC and other regulatory enforcement matters, including cases involving allegations of securities fraud, environmental violations, public corruption, antitrust violations, economic espionage and government contracting fraud. Mr. Fuchs has also conducted sensitive internal investigations, been retained by companies that have been victimized by fraud, and developed compliance programs, including compliance with the Foreign Corrupt Practices Act. Mr. Fuchs additionally has experience handling a broad range of civil litigation, including cases stemming from the same facts giving rise to criminal, SEC, and regulatory investigations.

James L. Zelenay is a partner in the Los Angeles office of Gibson, Dunn & Crutcher where he practices in the firm’s Litigation Department. Mr. Zelenay has extensive experience in defending clients involved in white collar investigations, assisting clients in responding to government subpoenas, and in government civil fraud litigation. Mr. Zelenay has represented clients in connection with alleged violations of environmental regulations, regulations governing trade with sanctioned countries, Department of Education rules and regulations, Food and Drug Administration regulations, Federal Emergency Management Agency regulations, government construction contracting matters, patent and telecommunication proceedings, and other administrative matters. Mr. Zelenay also has substantial experience with the federal and state False Claims Acts and whistleblower litigation.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.0 credit hour, of which 1.0 credit hour may be applied toward the areas of Ethics requirement. This course is approved for transitional/non-transitional credit.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. It is the opinion of this provider that this activity qualifies for up to 1 hour toward your annual CLE requirement in Connecticut, including 0 hour(s) of ethics/professionalism.

Application for approval is pending with the Colorado, Illinois, Texas, Virginia and Washington State Bars.

The shift to remote work since early 2020 has presented a number of challenges to those in the legal industry, both as outside and in-house counsel. This presentation will discuss issues posed by remote work that may affect an attorney’s ability to practice competently, including the effect on an attorney’s mental health, their ability to connect with management, those they supervise, or with clients, and their ability to maintain confidentiality, and will cover what employers and firms can do to address these issues, as well as what we should be mindful of as we move towards a return to offices or a hybrid work structure.

View Slides (PDF)

PANELISTS:

Megan Cooney is a Partner in the Orange County office of Gibson, Dunn & Crutcher. She is a member of the firm’s Labor and Employment, Class Actions, and Litigation Practice Groups. Ms. Cooney’s practice focuses on employment and class action litigation. She has represented employers in class actions, collective actions under the Fair Labor Standards Act, representative actions under the California Private Attorneys General Act, and individual actions in state and federal court alleging wage and hour violations, discrimination, retaliation, wrongful denial of benefits, harassment, and employment misclassification. Ms. Cooney has also represented clients in complex business litigation, including derivative lawsuits.

Tiffany Phan is a litigation Partner in the Los Angeles office of Gibson, Dunn & Crutcher. Her practice focuses on labor and employment matters with experience in class action defense and complex employment litigation at both the trial and appellate levels. She has extensive experience litigating wage and hour class actions involving exemptions, pay equity, harassment, discrimination, meal and rest breaks, and employee reimbursements. She has also conducted many internal investigations into complaints regarding executive employees. She has experience in matters before the NLRB and spends significant time counseling and advising employers on preventive planning.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

Application for approval is pending with the Colorado, Illinois, Texas, Virginia and Washington State Bars.

The panel will cover key developments to be aware of headed into the 2022 reporting and proxy season, including recent and upcoming SEC rulemaking and comment letters, proxy season trends, investor and proxy advisor updates, and regulatory developments on topics such as board diversity and director duties.

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PANELISTS:

Daniela L. Stolman is a partner in Gibson Dunn’s Century City office and a member of the firm’s Private Equity, Mergers and Acquisitions, Capital Markets and Securities Regulation and Corporate Governance practice groups. She advises companies and private equity firms across a wide range of industries, focusing on public and private merger transactions, stock and asset sales, and public and private capital-raising transactions. Ms. Stolman also advises public companies with respect to securities regulation and corporate governance matters, including periodic reporting and disclosure matters, Section 16, Rule 144, and insider trading.

Mike Titera is a partner in the Orange County office of Gibson, Dunn & Crutcher and a member of the Firm’s Securities Regulation and Corporate Governance Practice Group. His practice focuses on advising public companies regarding securities disclosure and compliance matters, financial reporting, and corporate governance. Mr. Titera often advises clients on accounting and auditing matters and the use of non-GAAP financial measures. He also has represented clients in investigations conducted by the Securities and Exchange Commission and the Financial Industry Regulatory Authority.Mr. Titera’s clients range from large-cap companies with global operations to small-cap companies in the pre-revenue phase. His clients operate in a range of sectors, including the retail,technology, pharmaceutical, hospitality, and financial services sectors.

Aaron Briggs is a Parnter in Gibson Dunn’s San Francisco office, where he works in the firm’s Securities Regulation and Corporate Governance Practice Group. Mr. Briggs’ practice focuses on advising public companies of all sizes (from pre-IPO to mega-cap), with a focus on technology and life sciences companies, on a wide range of securities and governance matters, including SEC compliance, corporate governance, ESG and sustainability, investor engagement, annual meeting, shareholder activism and executive compensation matters. Mr. Briggs previously served for five years as Executive Counsel – Corporate, Securities & Finance, at General Electric Company.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.0 credit hour, of which 1.0 credit hour may be applied toward the areas of Ethics requirement. This course is approved for transitional/non-transitional credit.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

Application for approval is pending with the Colorado, Illinois, Texas, Virginia and Washington State Bars.

Gibson Dunn lawyers provide an overview of the ongoing and still unfolding humanitarian crisis in Afghanistan. The session covers the latest updates on the legal landscape for Afghan refugees, the various mechanisms for providing immigration relief to Afghan refugees in the United States, and a look at how the legal profession has and can help close the justice gap for these deserving families.

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PANELISTS:

Katherine Marquart is a partner in Gibson Dunn’s New York office and is the Firm’s Pro Bono Chair. In this role, Ms. Marquart manages and coordinates the Firm’s pro bono efforts globally. She also maintains a substantive practice in many areas of public interest law. Ms. Marquart previously spent seven years as a litigation associate at the Firm, where her practice focused on complex business litigation, transnational litigation, and internal investigations and regulatory inquiries.

Sara Ghalandari is Of Counsel in the San Francisco office of Gibson, Dunn & Crutcher. She is a member of the firm’s Real Estate Group. Ms. Ghalandari’s practice encompasses a wide-array of land use/development matters and real estate transactions, including zoning, planning, the California Environmental Quality Act (CEQA), public private partnerships, and matters regarding construction access, underpinning and shoring. The primary focus of her practice is the processing of entitlements, supervising the preparation and approval of environmental documentation, and negotiating transactional documents associated with land use, project development, and construction, including agreements between private and public entities (including local governments and public agencies).

Lauren Traina is an associate in the Los Angeles office of Gibson, Dunn & Crutcher. She currently practices in the firm’s Real EstatePractice Group. Ms. Traina’s practice focuses on land use and real estate matters, with an emphasis on energy transactions, including project development, acquisitions, financings and restructurings. She has significant expertise in wind power, solar power and other renewable energy technology, and has represented both developers and tax equity investors in connection with these transactions. Ms. Traina also has notable experience in corporate mergers and acquisitions, capital markets, and securities regulation.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.0 credit hour, of which 1.0 credit hour may be applied toward the Diversity, Inclusion and Elimination of Bias requirement. This course is approved for transitional/non-transitional credit.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

Application for approval is pending with the Colorado, Illinois, Texas, Virginia and Washington State Bars.

Please join us in a discussion regarding the latest developments and trends in U.S. and international anti-money laundering (AML) and sanctions laws, regulations, and enforcement. In particular, we will cover recent updates related to enforcement actions, sanctions programs and export controls, the AML Act of 2020, online gaming and sports betting, emerging payment models, cryptocurrency and Central Bank Digital Currencies, and ransomware. We will also discuss sanctions and AML areas of focus highlighted by the Biden Administration, as well as what to expect in 2022 and beyond.

View Slides (PDF)

PANELISTS:

Stephanie Brooker is former Director of the Enforcement Division at the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) and previously served as the Chief of the Asset Forfeiture and Money Laundering Section in the U.S. Attorney’s Office for the District of Columbia and as a trial attorney for several years. Ms. Brooker co-chairs Gibson Dunn’s global White Collar Defense and Investigations, Anti-Money Laundering, and Financial Institutions Practice Groups. She represents financial institutions, multi-national companies, and individuals in connection with BSA/AML, sanctions, anti-corruption, securities, tax, wire fraud, and “me-too” matters. Her practice also includes BSA/AML compliance counseling and due diligence and significant criminal and civil asset forfeiture matters. She routinely handles complex cross-border investigations. Ms. Brooker has been named a National Law Journal White Collar Trailblazer and a Global Investigations Review Top 100 Women in Investigations.

Kendall Day is a former Acting Deputy Assistant Attorney General in DOJ’s Criminal Division. Mr. Day co-chairs Gibson Dunn’s Anti-Money Laundering and Financial Institutions Practice Groups. He represents financial institutions; fintech, crypto-currency, and multi-national companies; and individuals in connection with criminal, regulatory, and civil enforcement actions involving anti-money laundering/Bank Secrecy Act, sanctions, FCPA and other anti-corruption, securities, tax, wire and mail fraud, unlicensed money transmitter, false claims act, and sensitive employee matters. Mr. Day’s practice also includes BSA/AML compliance counseling and due diligence, and the defense of forfeiture matters.

Adam Smith is an experienced international trade lawyer who previously served in the Obama Administration as the Senior Advisor to the Director of OFAC and as the Director for Multilateral Affairs on the National Security Council. Mr. Smith focuses on international trade compliance and white collar investigations, including with respect to federal and state economic sanctions enforcement, the FCPA, embargoes, and export controls.

F. Joseph Warin is a former Assistant United States Attorney in Washington, D.C. Mr. Warin co-chairs Gibson Dunn’s global White Collar Defense and Investigations Practice Group, and he chairs the 200+-person Litigation Department of the Washington, D.C. office. Mr. Warin’s group is consistently recognized annually by Global Investigations Review as the leading global investigations law firm in the world. Among numerous personal accolades, Mr. Warin has been recognized by Benchmark Litigation as a U.S. White Collar Crime Litigator “Star” for eleven consecutive years (2011–2021), and he is ranked annually in the top-tier by Chambers USA, Chambers Global, and Chambers Latin America for his FCPA, fraud and corporate investigations expertise.

Ella Alves Capone is a senior associate in the Washington, D.C. office, where she is a member of the White Collar Defense and Investigations, Financial Institutions, and Anti-Money Laundering Practice Groups. Ms. Capone’s practice focuses primarily in the areas of white collar criminal defense, internal investigations, regulatory enforcement defense, and compliance counseling. She regularly advises financial institutions and multinational companies on anti-corruption, BSA/AML, and sanctions enforcement and regulatory matters. She also has particular experience representing cryptocurrency and other digital asset businesses, Fintechs, and payments entities on regulatory compliance matters.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.5 credit hours, of which 1.5 credit hours may be applied toward the areas of professional practice requirement.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.5 hours.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

SEC’s Dodd-Frank Whistleblower Program continued to break records in FY 2021. The Office of the Whistleblower (“OWB”) received over 12,200 whistleblower tips, by far the largest number of tips received since the beginning of the Program, from 99 foreign countries and every state in the Union. Additionally, the OWB handed out the largest whistleblower awards to date and processed the highest number of claims in FY 2021 since the Program began eleven years ago. The OWB also saw a change in leadership in FY 2021, with the longtime Chief Jane Norberg departing and with the new Acting Chief in office. Together, these trends and changes create the perfect storm for keeping in-house counsel and compliance professionals up at night.

Securities Docket is pleased to present its eleventh annual webcast on Dodd-Frank’s whistleblower provisions. This year’s panelists once again include leading practitioners in all aspects of Dodd-Frank whistleblower litigation and investigations, including F. Joseph Warin, John W.F. Chesley, Greta Williams, and Nicole Lee of Gibson Dunn, former SEC Office of the Whistleblower Chief Sean X. McKessy of Phillips & Cohen, and Jim Barratt of AlixPartners.

This free, 90-minute webcast will include a dynamic and participatory discussion on the statutory and regulatory framework of Dodd-Frank’s whistleblower provisions, their interpretation by the SEC Office of the Whistleblower and federal courts, and provide participants with practical tips for navigating the minefield of whistleblower complaints.

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As the COVID-19 pandemic continued into 2021, lawmakers and regulators around the world faced the dual-pronged challenge of reversing the slowdown in enforcement seen in 2020 while working to combat new forms of bribery and corruption that emerged as a result of the pandemic. This webcast will explore the approach taken by emerging markets in addressing these challenges and examine the trends seen in FCPA and local anti-corruption enforcement. In China, companies face increased scrutiny over their compliance programmes as the country introduces its first pilot programme for corporate criminal compliance and non-prosecution. Chinese regulators have continued their assault on key industries, such as big tech and healthcare, and sweeping reforms to data protection laws have had seismic effects on the conduct of cross-border investigations. In Russia, the topic of corruption remains a source of great tension while the complexity of sanctions regimes increases and cybercrime activities become the latest driving force behind white-collar enforcement. In Latin America, anti-corruption efforts have struggled to gain a strong foothold amid the practical challenges caused by COVID-19 and political instability in key markets.

In India, enforcement has fallen as a result of the COVID-19 pandemic and new legislation which has made it more difficult to commence investigations. State governments have also withdrawn the general consent previously provided to authorities to investigate corruption allegations, which has caused delays in resolving cases. Nevertheless, while anti-corruption enforcement remains inconsistent, recent cases highlight the heightened risks for multinationals doing business in the country. Across Africa, companies and individuals face significant fines, bidding suspensions, and other sanctions as investigations by authorities from the United States, the United Kingdom, the World Bank, and African authorities concluded in several countries in the region. Meanwhile, high-profile trials of former heads of state, including Benjamin Netanyahu and Jacob Zuma, resumed after delays due to the pandemic and claims of bias and political interference.

Join our team of experienced international anti-corruption attorneys to learn more about how to do business in China, Russia, Latin America, India and across Africa without running afoul of anti-corruption laws, including the Foreign Corrupt Practices Act (“FCPA”).

Topics to be Discussed:

An overview of FCPA enforcement statistics and trends for 2021;
The corruption landscape in key emerging markets, including recent headlines and scandals;
Lessons learned from local anti-corruption enforcement in China, Russia, Latin America, India, and across Africa;
Key anti-corruption legislative changes in China, Russia, Latin America, India, and across Africa;
The effect of COVID-19 on corruption and anti-corruption efforts; and
Mitigation strategies for businesses operating in high-risk areas

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MODERATOR:

F. Joseph Warin is Co-Chair of Gibson Dunn’s global White Collar Defense and Investigations Practice Group, and he is chair of the over 200-person Litigation Department of the Washington, D.C. office. Mr. Warin is ranked in the top-tier year after year by Chambers USA, Chambers Global, and Chambers Latin America for his FCPA, fraud and corporate investigations experience. He has handled cases and investigations in more than 40 states and dozens of countries involving federal regulatory inquiries, criminal investigations and cross-border inquiries by international enforcers, including UK’s SFO and FCA, and government regulators in Germany, Switzerland, Hong Kong, and the Middle East. Mr. Warin has served as a compliance monitor or counsel to the compliance monitor in three separate FCPA monitorships, pursuant to settlements with the SEC and DOJ.

PANELISTS:

Kelly Austin is Partner-in-Charge of Gibson Dunn’s Hong Kong office and a member of the firm’s Executive Committee. Ms. Austin is ranked annually in the top-tier by Chambers Asia Pacific and Chambers Global in Corporate Investigations/Anti-Corruption: China. Her practice focuses on government investigations, regulatory compliance and international disputes. Ms.. Austin has extensive expertise in government and corporate internal investigations, including those involving the FCPA and other anti-corruption laws, and anti-money laundering, securities, and trade control laws.

Joel Cohen is Co-Chair of the firm’s global White Collar Defense and Investigations Practice Group and a partner in the New York office. Mr. Cohen’s successful defense of clients has been noted in numerous feature articles in the American Lawyer and the National Law Journal, including for pretrial dismissal of criminal charges and trial victories. He is highly-rated in Chambers and named by Global Investigations Review as a “Super Lawyer” in Criminal Litigation. He has been lead or co-lead counsel in 24 civil and criminal trials in federal and state courts, and he is equally comfortable in leading confidential investigations, managing crises or advocating in court proceedings. Mr. Cohen’s experience includes all aspects of FCPA/anticorruption issues, in addition to financial institution litigation and other international disputes and discovery.

Benno Schwarz is Co-Chair of the firm’s Anti-Corruption & FCPA Practice Group and a partner in the Munich office, where his practice focuses on white collar defense and compliance investigations. Mr. Schwarz is ranked annually as a leading lawyer for Germany in White Collar Investigations/Compliance by Chambers Europe and was named by The Legal 500 Deutschland 2021 and The Legal 500 EMEA 2021 as one of four Leading Individuals in Internal Investigations, and also ranked for Compliance. He is noted for his “special expertise on compliance matters related to the USA and Russia.” Mr. Schwarz advises companies on sensitive cases and investigations involving compliance issues with international aspects, such as the implementation of German or international laws in anti-corruption, money laundering and economic sanctions, and he has exemplary experience advising companies in connection with FCPA and NYDFS monitorships or similar monitor functions under U.S. legal regimes.

Patrick Stokes is Co-Chair of the firm’s Anti-Corruption and FCPA Practice Group and a partner in the Washington, D.C. office, where he focuses his practice on internal corporate investigations, government investigations, enforcement actions regarding corruption, securities fraud, and financial institutions fraud, and compliance reviews. Mr. Stokes is ranked nationally and globally by Chambers USA and Chambers Global as a leading attorney in FCPA. Prior to joining the firm, Mr. Stokes headed the DOJ’s FCPA Unit, managing the FCPA enforcement program and all criminal FCPA matters throughout the United States covering every significant business sector. Previously, he served as Co-Chief of the DOJ’s Securities and Financial Fraud Unit.

Karthik Ashwin Thiagarajan is of counsel in the Singapore office. He represents clients in transactional, compliance and anti-corruption matters across the South Asia and ASEAN regions. Mr. Thiagarajan advises multi-national corporations on acquisitions, joint ventures and divestments across key emerging markets in Asia, including India and Indonesia. He frequently assists clients with internal investigations, anti-corruption reviews and regulatory actions in these markets.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 2.0 hours.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

During 2021, companies accessing the capital markets have had to navigate the ongoing challenges of the COVID-19 pandemic, change in US administration and increased emphasis by investors on ESG-related matters. Join partners of Gibson Dunn’s Capital Markets and Securities Regulation and Corporate Governance practice groups, as well as Chuck Park, a Managing Director in Goldman Sachs’ Equity Capital Markets Group, as they provide an overview of market activity in 2021 and how companies reacted to the market impact of these developments. This webcast will also discuss thoughts on 2022 capital raising and the key issues and opportunities that may impact companies looking to go to market next year.

PANELISTS:

Andrew Fabens is a partner in the New York office of Gibson, Dunn & Crutcher, Co-Chair of the firm’s Capital Markets practice group, and a member of the firm’s Securities Regulation and Corporate Governance, Fashion, Retail and Consumer Products and ESG practice groups. Mr. Fabens advises companies on long-term and strategic capital planning, disclosure and reporting obligations under U.S. federal securities laws, corporate governance issues and stock exchange listing obligations. He is recognized by Chambers USA in the Capital Markets: Debt & Equity category. Mr. Fabens represents issuers and underwriters in public and private corporate finance transactions, both in the United States and internationally. In addition, he regularly advises companies and investment banks on corporate and securities law issues, including M&A financing, spinoff transactions and liability management programs.

Hillary Holmes is a partner in the Houston office of Gibson, Dunn & Crutcher, Co-Chair of the firm’s Capital Markets practice group, and a member of the firm’s Securities Regulation and Corporate Governance, Energy, M&A and ESG practice groups. Ms. Holmes’ practice focuses on capital markets, securities regulation, and corporate governance. She is Band 1 ranked by Chambers USA in capital markets for the energy industry and recognized in nationwide Energy Transactions and M&A/Corporate. Ms. Holmes represents issuers and underwriters in all forms of capital raising transactions, including IPOs, registered offerings of debt or equity, private placements, joint ventures, structured investments, and sustainable financings. Ms. Holmes also frequently advises companies, boards of directors, special committees and financial advisors in M&A transactions, and conflicts of interest and other special situations.

Tom Kim is a partner in the Washington, D.C. office of Gibson, Dunn & Crutcher and a member of the firm’s Securities Regulation and Corporate Governance practice group. Mr. Kim focuses his practice on advising companies, underwriters and boards of directors on registered and exempt capital markets transactions, SEC regulatory and reporting issues, and corporate governance, as well as on general corporate and securities matters. Mr. Kim has been recognized by Chambers USA in the Securities Regulation: Advisory category since 2015. Mr. Kim served for six years as the Chief Counsel and Associate Director of the Division of Corporation Finance at the SEC.

Stewart McDowell is a partner in the San Francisco office of Gibson, Dunn & Crutcher, Co-Chair of the Capital Markets practice group and a member of the firm’s Corporate Department. Ms. McDowell’s practice involves the representation of business organizations as to capital markets transactions, mergers and acquisitions, SEC reporting, corporate governance and general corporate matters. She has significant experience representing both underwriters and issuers in a broad range of both debt and equity securities offerings. She also represents both buyers and sellers in connection with U.S. and cross-border mergers, acquisitions and strategic investments.

Chuck Park is a member of the Equity Capital Markets Group of Goldman Sachs in New York. He focuses on origination, advisory and execution of equity and equity-linked offerings, including initial public offerings, follow-on offerings, block trades and convertible financings for Natural Resources corporate clients. Through his industry responsibilities, Mr. Park works closely with oil and gas, utility and power, and renewable energy companies throughout the United States. He joined Goldman Sachs in 1998 and has been dedicated to the financing and capital markets areas of the firm, first in the Fixed Income Capital Markets Group, then as a member of the Equity and Equity-linked Capital Markets Groups. Mr. Park was named managing director in 2006.

Mike Titera is a partner in the Orange County office of Gibson, Dunn & Crutcher and a member of the firm’s Securities Regulation and Corporate Governance, Capital Markets and M&A practice groups. His practice focuses on advising public companies regarding securities disclosure and compliance matters, financial reporting, and corporate governance. Mr. Titera often advises clients on accounting and auditing matters and the use of non-GAAP financial measures. He also has represented clients in investigations conducted by the Securities and Exchange Commission and the Financial Industry Regulatory Authority.

This program will provide a comprehensive overview of spoofing and manipulation in the commodities and derivatives markets under the Commodity Exchange Act and other authorities. The panelists, all highly experienced lawyers in this area, will discuss the recent Department of Justice (DOJ) criminal prosecutions for spoofing and market manipulation, and the overlapping and often coordinated investigations conducted simultaneously by the Commodity Futures Trading Commission (CFTC) and other domestic and foreign regulators. We will also explore the strategies used by the government to investigate and prosecute spoofing and other market manipulation cases.

Topics will include:

Overview of commodities and derivatives spoofing and market manipulation
Recent CFTC, DOJ and other agency developments and trends
Government investigation and prosecution strategies
Internal monitoring, protection, and training

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PANELISTS:

David Burns is a partner in the Washington, D.C. office and co-chair of the firm’s National Security Practice Group. He served in senior positions in both the Criminal Division and National Security Division of the U.S. Department of Justice. Most recently, he served as Acting Assistant Attorney General of the Criminal Division, where he led more than 600 federal prosecutors who conducted investigations and prosecutions involving securities fraud, health care fraud, FCPA violations, public corruption, cybercrime, intellectual property theft, money laundering, Bank Secrecy Act violations, child exploitation, international narcotics trafficking, human rights violations, organized and transnational crime, gang violence, and other crimes, as well as matters involving international affairs and sensitive law enforcement techniques.

Joel M. Cohen is a partner in the New York office and co-chair of the firm’s global White Collar Defense and Investigations Practice Group. He is also a member of the Securities Litigation, Class Actions and Antitrust & Competition Practice Groups. He has been lead or co-lead counsel in 24 civil and criminal trials in federal and state courts, and he is equally comfortable in leading confidential investigations, managing crises or advocating in court proceedings. Mr. Cohen’s experience includes all aspects of FCPA/anticorruption issues, in addition to financial institution litigation and other international disputes and discovery.

Jeffrey L. Steiner is a partner in the Washington, D.C. office, co-chair of the firm’s Derivatives Practice, and co-chair of the firm’s Digital Currencies and Blockchain Technology Practice. He advises financial institutions, dealers, hedge funds, private equity funds, and others on compliance and implementation issues relating to CFTC, SEC, the Dodd-Frank Act, and other banking rules and regulations. He also helps clients to navigate through cross-border issues resulting from global derivatives requirements. He has been recognized by Chambers Global and Chambers USA as an international leading lawyer for his work in derivatives, and was named a Cryptocurrency, Blockchain and Fintech Trailblazer.

Darcy C. Harris is a litigation associate in the New York office. She is a member of the firm’s Securities Enforcement, Securities Litigation, and White Collar Defense and Investigations Practice Groups. Her practice focuses on complex commercial litigation, internal and regulatory investigations, securities litigation, and white collar defense. She has represented clients across a variety of industries, including financial services, insurance, accounting and auditing, healthcare, real estate, consumer goods, media and entertainment, and non-profit.

Amy Feagles is an associate in the Washington, D.C. office. She is a member of the firm’s White Collar Defense and Investigations, and Antitrust and Competition Practice Groups. Her practice encompasses internal investigations, regulatory and criminal investigations, and complex commercial litigation across a range of industries, including financial services, government contracting, healthcare, and international shipping.

Jaclyn Neely is an associate in the New York office. She is a member of the firm’s White Collar Defense and Investigations, Securities Enforcement, Anti-Money Laundering, and Litigation Practice Groups. She represents major multinational corporations, financial institutions, and others in criminal, regulatory, and internal investigations, with a focus on anti-corruption and anti-money laundering issues.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

Following on from the recent launch of our Global Financial Regulatory Practice Group, please join us for the inaugural webcast from our global team, where we will be discussing the latest legal and regulatory developments while identifying key themes and trends across the major financial centers in relation to:

Environmental, Social and Governance (ESG)
Culture and conduct in financial services
Digital assets/cryptocurrencies

We will discuss the supervisory and enforcement approaches and priorities currently being taken by global regulators, including those across the Asia-Pacific region, on these issues and provide views on best practices for managing compliance requirements and the new regulatory risks for firms and their senior management. In addition, the team will bring their predictions for the future of regulatory policy, supervision and enforcement based on their extensive experience in these areas with the key global regulators.

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MODERATOR:

Kelly Austin: The Partner-in-Charge of Gibson Dunn’s Hong Kong office, a Co-Chair of the Firm’s Anti-Corruption & FCPA Practice, and a member of the Firm’s Executive Committee. Her practice focuses on government investigations, regulatory compliance and international disputes. She has extensive expertise in government and corporate internal investigations, including those involving the Foreign Corrupt Practices Act and other anti-corruption laws, and anti-money laundering, securities, and trade control laws. She also regularly guides companies on creating and implementing effective compliance programs.

PANELISTS:

William Hallatt: is a partner in the Hong Kong office and Co-Chair of the firm’s Global Financial Regulatory Practice Group. Mr. Hallatt’s practice includes internal and external regulatory investigations involving high-stakes enforcement matters brought by key financial services regulators, including the Hong Kong Securities & Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA), covering issues such as IPO sponsor conduct, anti-money laundering and terrorist financing compliance, systems and controls failures, and cybersecurity breaches. He has led the financial industry response on a number of the most significant regulatory change issues in recent years, working closely with major regulators, including the SFC, HKMA, Hong Kong Insurance Authority (IA) and the Monetary Authority of Singapore (MAS), together with leading industry associations, including the Asia Securities Industry & Financial Markets Association (ASIFMA) and the Alternative Investment Management Association (AIMA).

Michelle M Kirschner: is a partner in the London office and Co-Chair of the firm’s Global Financial Regulatory Practice Group. Ms. Kirschner advises a broad range of financial institutions and fintech businesses on areas such as systems and controls, market abuse, conduct of business and regulatory change management, and she conducts internal investigations and reviews of corporate governance and systems and controls in the context of EU and UK regulatory requirements and expectations.

Thomas Kim: former Chief Counsel and Associate Director of the SEC’s Division of Corporation Finance, and a former Counsel to the SEC Chairman, is a partner in the Washington D.C. office. He is a member of the firm’s Securities Regulation and Corporate Governance Practice Group. Mr. Kim advises a broad range of clients on SEC enforcement investigations involving disclosure, registration and auditor independence issues. Because of his SEC experience on the question of what is a security, Mr. Kim has advised many cryptocurrency companies on whether their particular digital assets constitute securities.

Matthew Nunan: former Head of Department for Wholesale Enforcement at the UK Financial Conduct Authority (FCA), is a partner in the London office. He is a member of the firm’s Dispute Resolution Group. When at the FCA, Mr. Nunan oversaw a variety of investigations and regulatory actions including LIBOR-related misconduct, insider dealing, and market misconduct matters, many of which involved working extensively with non-UK regulators and prosecuting authorities including the DOJ, SEC, CFTC, and others. Mr. Nunan also was Head of Conduct Risk for Europe, Middle East and Africa at a major global bank. He specializes in financial services regulation and enforcement, investigations and white collar defense.

Jeffrey Steiner: former special counsel at the U.S. Commodity Futures Trading Commission (CFTC), is a partner in the Washington D.C. office. He is Co-Chair of the firm’s Derivatives Practice and Digital Currencies and Blockchain Technologies Practice. Mr. Steiner advises a range of clients on regulatory, legislative, enforcement and transactional matters related to OTC and listed derivatives, commodities and securities. He also advises clients, including exchanges, financial institutions and fintech firms, on matters related to digital assets and cryptocurrencies.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.5 credit hour, of which 1.5 credit hour may be applied toward the areas of professional practice requirement. This course is approved for transitional/non-transitional credit.

Attorneys seeking New York credit must obtain an Affirmation Form prior to watching the archived version of this webcast. Please contact CLE@gibsondunn.com to request the MCLE form.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.5 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

Environmental, Social and Governance (ESG)
Culture and conduct in financial services
Digital assets/cryptocurrencies

We will discuss the supervisory and enforcement approaches and priorities currently being taken by global regulators on these issues and provide views on best practices for managing compliance requirements and the new regulatory risks for firms and their senior management. In addition, the team will bring their predictions for the future of regulatory policy, supervision and enforcement based on their extensive experience in these areas with the key global regulators.

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MODERATOR:

Stephanie Brooker: former Director of the Enforcement Division at the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) and a former federal prosecutor, is a partner in the Washington, D.C. office. She is Co-Chair of the firm’s White Collar Defense and Investigations, the Financial Institutions, and the Anti-Money Laundering Practice Groups. Ms. Brooker also previously served as the Chief of the Asset Forfeiture and Money Laundering Section in the U.S. Attorney’s Office for the District of Columbia. She has been named a National Law Journal White Collar Trailblazer and a Global Investigations Review Top 100 Women in Investigations. She handles a wide range of white collar matters, including representing financial institutions, multi-national companies, and individuals in connection with criminal, regulatory, and civil enforcement actions. She routinely handles complex cross-border investigations.

PANELISTS:

MCLE CREDIT INFORMATION:

Attorneys seeking New York credit must obtain an Affirmation Form prior to watching the archived version of this webcast. Please contact CLE@gibsondunn.com to request the MCLE form.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.5 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

Please join us as our distinguished panelists discuss the challenging interplay between internal audit and white collar investigations. The discussion will include strategies to ensure that internal audit complements the compliance function and how best to deal with legal problems identified by internal audit activities. Our panelists will also discuss recent FCPA enforcement actions that leverage internal audit findings to support alleged violations.

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PANELISTS:

Michael Diamant is a partner in Gibson Dunn’s Washington, D.C. office. He is a member of the White Collar Defense and Investigations Practice Group, and serves on the firm’s Finance Committee. Mr. Diamant has managed numerous internal investigations for publicly traded corporations and conducted fieldwork in nineteen different countries on five continents. He also regularly advises major corporations on the structure and effectiveness of their compliance programs.

Patrick Stokes is a partner in Gibson Dunn’s Washington, D.C. office, and Co-Chair of the firm’s Anti-Corruption and FCPA practice group. His practice focuses on internal corporate investigations and enforcement actions regarding corruption, securities fraud, and financial institutions fraud. Prior to joining the firm, Mr. Stokes headed the DOJ’s FCPA Unit, managing the FCPA enforcement program and all criminal FCPA matters throughout the United States covering every significant business sector. Previously, he served as Co-Chief of the DOJ’s Securities and Financial Fraud Unit.

Oleh Vretsona is a partner in the Washington, D.C. office of Gibson Dunn. He currently practices in the firm’s Litigation Department, where he focuses on white collar criminal defense, internal investigations, regulatory inquiries, antitrust, and corporate compliance. Mr. Vretsona has represented clients in a wide variety of matters, including matters arising under the U.S. Foreign Corrupt Practices Act and antitrust matters, and he has advised clients on structure and implementation of corporate compliance programs.

Ella Capone is a senior associate in the Washington, D.C. office of Gibson Dunn, where she is a member of the White Collar Defense and Investigations and Anti-Money Laundering practice groups. Her practice focuses primarily in the areas of white collar criminal defense, corporate compliance, and securities litigation. Ms. Capone regularly conducts internal investigations and advises multinational corporations and financial institutions, including major banks and casinos, on compliance with anti-corruption and anti-money laundering laws and regulations.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

The New York State Department of Financial Services is the state’s primary regulator of financial institutions and activity, with jurisdiction over approximately 1,400 financial institutions and 1,800 insurance companies. This year, the agency will undergo a change in leadership with the appointment of Adrienne Harris as Superintendent. At the same time, the agency stands ready to emerge from the COVID-19 pandemic with a continued focus on consumer protection and assertion of authority over emerging areas of significance to New York’s banking and insurance industries. In this exclusive one-hour presentation, three experienced practitioners—Mylan Denerstein, Akiva Shapiro, and Seth Rokosky—explain key developments at this important financial services regulator. They will discuss not only changes to the agency’s leadership and organizational structure, but also recent developments with respect to the agency’s guidance, regulations, and enforcement matters in a broad array of areas, including insurance, consumer protection, cybersecurity, fintech and cryptocurrency, financial empowerment and inclusion, climate change, and special-purpose national bank charters.

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PANELISTS:

Mylan Denerstein is a litigation partner in the New York office of Gibson, Dunn & Crutcher. Ms. Denerstein is Co-Chair of Gibson Dunn’s Public Policy Practice Group and a member of the Crisis Management, White Collar Defense and Investigations, Labor and Employment, Securities Litigation, and Appellate Practice Groups. Ms. Denerstein leads complex litigation and internal investigations, representing companies in their most critical times, typically involving state, municipal, and federal government agencies. Prior to joining Gibson Dunn, Ms. Denerstein served as Counsel to New York State; in a diverse array of legal positions in New York State and City agencies; and as a federal prosecutor and Deputy Chief of the Criminal Division in the U.S. Attorney’s Office for the Southern District of New York. Ms. Denerstein is ranked as a leading lawyer in White-Collar Crime & Government Investigations by Chambers USA: America’s Leading Lawyers for Business 2021. She was named by Benchmark Litigation to its 2021 “Top 250 Women in Litigation” list, and was also recognized by the publication as a 2021 “Litigation Star” nationally in Appellate, Securities and White-Collar Crime, as well as in New York. Ms. Denerstein was named to the 2020 “Albany Power 100”, 2020 “Law Power 100” and 2019 “Law Power 50” list by City & State and the 2019 list of “Notable Women in Law” by Crain’s New York Business.

Akiva Shapiro is a litigation partner in the New York office of Gibson, Dunn & Crutcher, where he is a member of the firm’s Appellate and Constitutional Law, Media & Entertainment, Securities Litigation, and Betting & Gaming Practice Groups. Mr. Shapiro’s practice focuses on a broad range of high-stakes constitutional, commercial, and appellate litigation matters, successfully representing plaintiffs and defendants in suits involving civil RICO, securities fraud, breach of contract, misappropriation, and many other tort claims, as well as CPLR Article 78, First Amendment, Due Process, and statutory challenges to government actions and regulations. He is regularly engaged in front of New York’s trial courts, federal and state courts of appeal, and the U.S. Supreme Court, and has been named a Super Lawyers New York Metro “Rising Star” in Constitutional Law. Mr. Shapiro was named Litigator of the Week by The American Lawyer in August 2021 for what it called an “extraordinary SCOTUS win for New York landlords,” obtaining an emergency injunction from the Court on due process grounds. He was named a runner-up Litigator of the Week by The American Lawyer in November 2020 for “two big wins . . . scored late on the Wednesday before Thanksgiving,” including obtaining an emergency injunction from the U.S. Supreme Court in The Roman Catholic Diocese of Brooklyn, New York v. Cuomo, a landmark religious liberties decision. He was also named a runner-up Litigator of the Week in August 2019 for a First Amendment and due process victory on behalf of the New York State title insurance industry.

Seth Rokosky is an associate in the New York office of Gibson, Dunn & Crutcher. He is a member of the firm’s Litigation Department and focuses his practice in the Appellate and Constitutional Law group. Mr. Rokosky has extensive experience challenging and defending government policies at the state, local, and federal level. He rejoined Gibson Dunn after serving in the New York Attorney General’s Office. As an Assistant Solicitor General in the Bureau of Appeals and Opinions, his public service included representing the State and its agencies as principal attorney on 43 appellate matters. Mr. Rokosky has conducted more than 20 oral arguments and filed more than 70 appellate briefs in both state and federal court, and he maintains a robust litigation practice in trial courts with a particular focus on complex briefing and providing strategic advice to trial counsel. The Best Lawyers in America® has recognized Mr. Rokosky as “One to Watch” in the Appellate Practice.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

Fourth of Four Industry-Specific Programs

The False Claims Act (FCA) is one of the most powerful tools in the government’s arsenal to combat fraud, waste, and abuse involving government funds. After several years of statements and guidance indicating that the Department of Justice (DOJ) might alter its approach to FCA enforcement, the Biden Administration appears to be taking a different, more aggressive approach. Meanwhile, newly filed FCA cases remain at historical peak levels, and the government has recovered nearly $3 billion or more annually under the FCA for a decade. The government also continues to pursue new, large spending projects in COVID-related stimulus and infrastructure—which may bring yet more vigorous efforts by DOJ to pursue fraud, waste, and abuse in government spending. As much as ever, any company that receives government funds—especially in the health care sector—needs to understand how the government and private whistleblowers alike are wielding the FCA, and how they can defend themselves.

Please join us to discuss developments in the FCA, including:

The latest trends in FCA enforcement actions and associated litigation affecting health care providers;
Updates on the Biden Administration’s approach to FCA enforcement, including developments impacting DOJ’s use of its statutory dismissal authority;
New proposed amendments to the FCA introduced by Senator Grassley; and
The latest trends in FCA jurisprudence, including developments in particular FCA legal theories affecting your industry and the continued evolution of how lower courts are interpreting the Supreme Court’s Escobar decision.

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PANELISTS:

Jonathan M. Phillips is a partner in the Washington, D.C. office where he co-chair of the False Claims Act/Qui Tam Defense practice. Mr. Phillips focuses on compliance, enforcement, and litigation in the health care and government contracting fields, as well as other white collar enforcement matters and related litigation. A former Trial Attorney in DOJ’s Civil Fraud section, he has particular experience representing clients in enforcement actions by the DOJ, Department of Health and Human Services, and Department of Defense brought under the False Claims Act and related statutes.

Robert Hur is a partner in the Washington, D.C. office where he is co-chair of the Crisis Management group. A seasoned trial lawyer and advocate, he brings decades of experience in government and in private practice, including service in senior leadership positions with the U.S. Department of Justice, to guide companies and individuals facing white-collar criminal matters, regulatory proceedings and enforcement actions, internal investigations, and related civil litigation.

Brendan Stewart is of counsel in the New York office and a former federal prosecutor. He previously served as an Assistant Chief in the Fraud Section of the U.S. Department of Justice’s Criminal Division where he oversaw a unit of health care fraud prosecutors in the Eastern District of New York from 2017 to 2021. As a prosecutor since 2012, he has led numerous complex investigations—in coordination with the U.S. Attorney’s Office, the FBI, the Department of Health and Human Services’ Office of Inspector General, State Attorneys General —focusing on potential violations of federal statutes barring health care fraud and false medical statements and other crimes.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.5 hours.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.

RELATED WEBCASTS IN THIS SERIES:

The False Claims Act – 2021 Update for Financial Services (October 6, 2021)
The False Claims Act – 2021 Update for Government Contractors (October 14, 2021)
The False Claims Act – 2021 Update for Drug & Device Manufacturers (October 20, 2021)

Please join Jessica Brown and Lauren Elliot, authors of An Employer Playbook for the COVID “Vaccine Wars”: Strategies and Considerations for Workplace Vaccination Policies (Dec. 2020, updated Feb. 2021), for the latest information and trends relating to workplace vaccination policies. This updated briefing is highly relevant in light of the Delta variant and President Biden’s announcement of vaccine and testing mandates. Jessica and Lauren will be joined by their former colleague Jodi Juskie, Vice President and Assistant General Counsel for Keysight Technologies, for an in-house perspective on workplace vaccination and testing policies.

Topics will include the legal and regulatory landscape for vaccine mandates; OSHA’s ETS regarding COVID-19 vaccines/testing and implications for employers; vaccine mandate considerations for employers; pros and cons of different approaches to mandating vaccinations; how to deal with employees who cannot be, or claim they cannot be, vaccinated; collection and handling of vaccine and testing information; liability considerations with and without vaccine mandates; and how to build buy-in and plan for conflict resolution.

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PANELISTS:

Jessica Brown is a partner in the Denver office of Gibson, Dunn & Crutcher and a member of the firm’s Labor and Employment and White Collar Defense and Investigations Practice Groups. Ms. Brown advises corporate clients regarding COVID-19 liability risks, workplace vaccination policies, Colorado Equal Pay for Equal Work Act Transparency Rules, anti-harassment, whistleblower complaints, reductions in force, mandatory arbitration programs, return-to-work protocols, and matters that intersect with intellectual property law, such as noncompete agreements and trade secrecy programs. She has assisted clients to conduct audits of their pay practices for purposes of compliance with state and federal equal pay and wage and hour laws. In addition, Ms. Brown has defended nationwide and state-wide class action and individual lawsuits alleging, for example, gender discrimination under Title VII, failure to permit facility access under the Americans with Disabilities Act, and failure to compensate workers properly under the Fair Labor Standards Act. She has been ranked by Chambers USA as a leading Labor and Employment lawyer in Colorado for 16 consecutive years and is currently ranked in Band 1. She also is the current President of the Colorado Bar Association.

Lauren Elliot is a partner in the New York office of Gibson, Dunn & Crutcher and a member of the firm’s Life Sciences and Labor & Employment Practice Groups. Ms. Elliot has defended pharmaceutical and biotech companies in cases involving a broad spectrum of well-known life sciences products. She successfully defended Wyeth (now Pfizer) in close to 400 product liability actions in which plaintiffs alleged that childhood vaccines cause autism spectrum disorders. Ms. Elliot also has defended labor and employment claims in class actions and individual lawsuits alleging violations of state labor laws and the Fair Labor Standards Act, and has been advising on COVID-19 liability risks and workplace vaccination policies. Legal Media Group has named Ms. Elliot to its Expert Guides Guide to the World’s Leading Women in Business Law for Product Liability three times and she has served two terms as a member of the Product Liability Committee for the Association of the Bar of the City of New York.

MCLE CREDIT INFORMATION:

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.0 hour.

California attorneys may claim “self-study” credit for viewing the archived version of this webcast. No certificate of attendance is required for California “self-study” credit.