2013 International Enforcement Institute
Program Content
INTERNATIONAL INSTITUTE FOR SECURITIES ENFORCEMENT AND MARKET OVERSIGHT
The SEC will offer its annual International Institute for Securities Enforcement and Market Oversight at the SEC’s headquarters in Washington, DC, from November 18 – 22, 2013.
SELECTED TOPICS
Key Elements of a Successful Enforcement Program
• Compelling sworn testimony and production of records
• Restraining Proceeds of Securities Fraud
• Settlements
Investigating Insider Trading
• Legal theories underlying insider trading
• Methods for successfully investigating and prosecuting illegal insider trading
Investigating Market Manipulation
• Common techniques that fraudsters use to manipulate stock
• Use of the internet to perpetrate fraud
• Methods for successfully investigating and prosecuting market manipulation
Investigating Financial Fraud by Issuers
• Sources and types of cases
• How to investigate and prove a financial fraud case
• Cases against accountants and auditors
Criminal Enforcement of the Securities Laws and Parallel Proceedings
• Methods of cooperating with criminal investigators and prosecutors
• Legal issues affecting cooperation
International Cooperation in the Investigation and Prosecution of Securities Fraud
• Compelling and sharing information
• IOSCO Multilateral Memorandum of Understanding
• Tracing and restraining proceeds of fraud
Appropriate Remedies and Sanctions for Securities Law Violations
• Appropriate penalties against individuals and corporations
• Disgorgement
• Director & Officer bars
• Restraining orders
• Credit for cooperation
• Criminal sanctions
Pyramid and Ponzi Schemes
• Investigating and prosecuting Off-market Securities Fraud
Market Surveillance Systems and Techniques
• Developments in market surveillance and technology
Compliance, Inspections and Examinations
• Techniques for broker-dealer examinations
• Risk based examinations
ATTENDING THE PROGRAM
Who Should Attend. The Program is designed for personnel of foreign financial regulatory and enforcement authorities who are responsible for securities market surveillance, inspection of market participants, and investigation and prosecution of securities law violations.
Language. The Program will be presented in English. Delegates must be fluent in English.
Costs. There is no tuition charge. Participants are expected to arrange and pay for all transportation, accommodations and meal expenses. Participants are strongly encouraged to obtain travel and medical insurance.
Registration. To register for the Program, please have your nominated delegates go to the registration form at: https://www.sec.gov/forms/fall_inst_reg
In order to receive priority, all registration forms must be received by the registration deadline: October 4, 2013. If you have any questions regarding the program, please contact the SEC staff by e-mail at oiaprograms@sec.gov.
http://www.sec.gov/about/offices/oia/2013-event/2013-enforcement-event-program-content.htm
