PLI PLUS Title Details

Skip to main content

Create Account
About PLI PLUS
Help
Contact Us

Questions? Comments?
Contact us.

Email: PLUS@pli.edu
Phone: 877.900.5291
PLI.edu
SIGN IN

Search
Browse
My Bookshelf
My History

< Back To Results

1 in 1 results

Previous Result
Next Result

Book Cover Image

Enforcement 2018: Perspectives from Government Agencies

Author(s): Richard D. Owens, Linda Chatman Thomsen, Joan E. McKown
Practice Area: Corporate & Securities, Litigation
Published: May 2018
ISBN: 9781402431654
PLI Item #: 220520
CHB Spine #: B2408

Terms & ConnectorsNatural Language

Email
Print
Add To Bookshelf
Permalink

Table of Contents
Related Items

Select All

Front Matter
Faculty Bios
Table of Contents
Chapter 1. Colleen P. Mahoney, Charles F. Walker, Erich T. Schwartz, Andrew M. Lawrence, Joshua A. Ellis, Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates, Trends in SEC Enforcement & Internal Investigations (March 2, 2018)
Chapter 2. Is the CFTC Becoming the National Fraud Police? The CFTC Goes All In On Policing Fraud In Virtual Currencies, Futures & Derivatives Law Report: The Journal on the Law of Investment & Risk Management Products, Volume 38, Issue 3 (March 2018)
Chapter 3. In Re: UBS AG, S.E.C. Release No. 9961, File No. 3-16891 (Oct. 13, 2015)
Chapter 4. In Re: Coinflip, Inc., d/b/a Derivabit, and Riordan, CFTC Docket No. 15-29 (Sept. 17, 2015)
Chapter 5. In Re: TeraExchange LLC, CFTC Docket No. 15-33 (Sept. 24, 2015)
Chapter 6. In Re: BFXNA INC. d/b/a BITFINEX, CFTC Docket No. 16-19 (June 2, 2016)
Chapter 7. In Re: FORCERANK LLC, S.E.C. Release Nos. 10232; 79093; File No. 3-17625 (2016)
Chapter 8. In re: Morgan Stanley & Co. LLC, S.E.C. Release No. 79606; File No. 3-17737 (2016)
Chapter 9. Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties under the Commodity Exchange Act and Commission Regulations, Jury Trial Demanded, CFTC v. Gelfman Blueprint, Inc. and Gelfman, Case No. 17-7181 (S.D.N.Y. 2017)
Chapter 10. Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties under the Commodity Exchange Act and Commission Regulations, Jury Trial Demanded, CFTC v. My Big Coin Pay, Inc., Crater, and Gillespie (D. Mass. Jan. 16, 2018)
Chapter 11. Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties under the Commodity Exchange Act and Commission Regulations, Jury Trial Demanded, CFTC v. McDonnell and Cabbagetech, Corp. d/b/a Coin Drop Markets, Case No. 18-CV-0361 (E.D.N.Y. Jan. 18, 2018)
Chapter 12. CFTC v. McDonnell and Cabbagetech, Corp. d/b/a Coin Drop Markets, Case No. 18-CV-0361 (E.D.N.Y. Mar. 6, 2018)
Chapter 13. Complaint for Injunctive and Other Equitable Relief, Restitution, and Civil Monetary Penalties under the Commodity Exchange Act, CFTC v. Dean and the Entrepreneurs Headquarters Limited, Case No. 18-cv-00345 (E.D.N.Y. Jan. 18, 2018)
Chapter 14. U.S. Commodity Futures Trading Commission, Office of Public Affairs, CFTC Backgrounder on Oversight of and Approach to Virtual Currency Futures Markets (January 4, 2018)
Chapter 15. Cybersecurity Requirements for Financial Services Companies, 23 NYCRR 500 (2017)
Chapter 16. A Framework for a Vulnerability Disclosure Program for Online Systems, U.S. Department of Justice, Cybersecurity Unit (July 2017)
Chapter 17. Davis Polk & Wardwell LLP, Cyber Breach Center, OCC Says Cyber Threats Continue to Elevate Banks’ Operational Risk (January 23, 2018)
Chapter 18. Avi Gesser and Gabriel D. Rosenberg, Davis Polk & Wardwell LLP, Cyber Breach Center, Delegation, Not Abdication: The CFTC Fines AMP Global Clearing LLC for Failing to Supervise a Third-Party Service Provider (February 21, 2018)
Chapter 19. U.S. Department of Justice, Office of Public Affairs, Press Release, Attorney General Sessions Announces New Cybersecurity Take Force (February 20, 2018)
Chapter 20. U.S. Securities and Exchange Commission, Commission Statement and Guidance on Public Company Cybersecurity Disclosures, Release Nos. 33-10459; 34-82746, 17 CFR Parts 229 and 249 (February 21, 2018)
Chapter 21. Randal K. Quarles, Vice Chairman for Supervision, Board of Governors of the Federal Reserve System, Brief Thoughts on the Financial Regulatory System and Cybersecurity, Remarks Before the Financial Services Roundtable, 2018 Spring Conference, Washington, D.C. (February 26, 2018)
Chapter 22. Chairman Jay Clayton, Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers (June 1, 2017)
Chapter 23. U.S. Securities and Exchange Commission, Press Release, SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors (September 25, 2017)
Chapter 24. Stephanie Avakian, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, The SEC Enforcement Division’s Initiatives Regarding Retail Investor Protection and Cybersecurity (October 26, 2017)
Chapter 25. Legal and Policy Developments in Enforcement: Discussion Topics (Substantive Outline) (March 2018)
Chapter 26. Selected Ethics Topics and Developments (March 12, 2018)
Chapter 27. King & Spalding, Client Alert, Special Matters & Government Investigations and Tax Practice Groups, Reflections on Kokesh v. SEC: On the Lookout for “Elephants in Mouseholes” (February 9, 2018)
Chapter 28. Dixie L. Johnson, Carmen Lawrence, Alec Koch, Peter Isajiw, Victoria Bohannan, Business Law Today, Don’t Blow It: Avoiding Pitfalls under the SEC’s Whistleblower Regime (November 1, 2017)
Index

About Us

All Contents Copyright © 1996-2019 Practising Law Institute. PLI Librarian Blog PLI PLUS app Privacy Policy Terms Of Use
Continuing Legal Education since 1933.