Holland & Knight
811 Main Street
Houston, TX 77002
Overview (Program Summary)
A program hosted by:
ACC HoustonACC Houston and Texas Lawbook: SEC Regional Office Update CLE
October 21, 2022 | 12 - 1:15 pm | Holland & Knight Offices (lunch will be provided)
Please join The Texas Lawbook and ACC Houston for an update on the key developments and enforcement trends at the Securities and Exchange Commission, including:
- Recent Fifth Circuit decisions that question SEC administrative judicial proceedings;
- "No admit, no deny" settlement agreements;
- What kinds of enforcement actions the Fort Worth Regional Office is bringing;
- Auditor duty on fraud procedures;
- CCO liability
- Insider trading;
- Post-Panuwat filing;
- Recent 10b5-1 plan actions;
- Cybersecurity and more
SEC Regional Director David Peavler will be joined by an expert panel featuring Holland & Knight partner Scott Mascianica, former SEC assistant regional director for enforcement; Vinson & Elkins partner Rebecca Fike, former senior counsel for enforcement at the SEC; and David Rassin, general counsel, secretary and chief compliance officer at SAExploration.
For anyone wanting to join virtually today, please use the Zoom links below:
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Meeting ID: 894 6077 9855 |
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Join By: |
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Web: |
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Meeting URL: https://hklaw.zoom.us/j/89460779855 |
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Phone One-tap (Mobile Only): |
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+13462487799 (US Toll) |
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Telephone: |
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+1 346 248 7799 (US Toll) |
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Speakers
David Peavler, SEC Regional Director
Scott Mascianica, Partner, Holland & Knight
Rebecca Fike, Partner, Vinson & Elkins
David Rassin, General Counsel, Secretary & Chief Compliance Officer, SAExploration
Notes
The Association of Corporate Counsel (ACC) is a global bar association that promotes the common professional and business interests of in-house counsel who work for and whose primary responsibility is providing legal advice to corporations, associations and other private-sector organizations. Accordingly, the ACC Houston Chapter reserves the right to limit attendance at any of its Continuing Legal Education (CLE) events to ACC Houston Chapter members or non-ACC chapter member in-house attorneys only. If you are not an in-house attorney and wish to attend a CLE event, you may only do so, space permitting, if you are accompanied by an in-house attorney from your company or organization.
When you participate in a ACC or ACC Houston event, photography, audio and/or video recording may occur. By participating in the event, you grant ACC Houston and other entities as ACC Houston may designate from time to time (“ACC Houston Parties”) the right to create, use, distribute, broadcast, edit, or otherwise disseminate the photography, audio and/or video recording from the event that contain recordings of you or your likeness (collectively “Recordings”) without any further review or approval from you, in whole or in part, throughout the world, in perpetuity, in any and all media now known or hereafter developed. This grant to the ACC Houston Parties includes, but is not limited to, the use of the Recordings either alone or together with supporting materials, such as video or supporting information.
Examples of permitted use of the Recordings include displaying the photographs as thumbnails on a ACC Houston website (e.g., www.acc.com/chapters/houst or acchouston.starchapter.com); utilizing the Recordings on ACC Houston Parties websites or print publications.
In addition, you understand that ACC Houston is not obligated to use the Recordings in any way. You agree that the rights granted herein are irrevocable. You further agree that you have no ownership rights in the Recordings and are due no royalties or other compensation whatsoever related to the Recordings.
By participating in the event, you affirm that you have the full power and authority to grant the rights and releases set forth herein.
CLE
Contact (RSVP)
Sponsored By
Texas Lawbook