Liability for Securities Law Violations – Part Two: Individual Liability

This panel will focus on certain liabilities that face individuals under the federal securities laws, including an in-depth review of Section 16 of the Exchange Act and individual requirements for reporting and liability. After completing this session, participants will be able to:

• Better understand the implications of delinquent Section 16 filings and the implications of the changes in reporting “gifts”
• Be prepared to address potential issues arising out of “clawback” policies and recovery of excess incentive compensation
• Analyze pertinent litigation and SEC enforcement actions
• Recommend best practices based on developments in the use of 10b5-1 plans and related disclosures

Other Speakers:

Douglas I. Koff (Partner, McDermott Will & Schulte LLP)

For more information, view the event details.