Government

This roundtable discussion will include regulators from the US Department of Justice, Securities & Exchange Commission, and the Consumer Financial Protection Bureau, along with your in-house counsel peers. With the regulators, we will cover ongoing and emerging compliance and examination issues, provide updates on regulatory changes, and keep ACC members in tune with regulators’ views, recent findings, and consent orders and compliance trends. The regulators will be asked to discuss their approaches to examinations and investigations and suggest best practices for compliance in the current environment.

This Participants' Briefing Book includes a discussion outline and suggested resources on the topic of FCPA enforcement - success strategies.

Raising capital in private transactions is big business, for new, small and large companies alike. If this hasn’t been your practice are before and is now, join us at this session to explore with experienced practitioners the basic legal and regulatory framework for raising capital privately – covering the Securities Act exemption and Regulation D and changes to that framework made by the Dodd-Frank Act. We’ll also introduce you to the key concepts and jargon (e.g., bad boy investors) you’ll need to get through a capital raising with comfort. The session will cover finding (soliciting) investors, what the offering materials need to cover and look like, state blue sky (another piece of jargon we’ll cover), restricted stock and who the regulators are.