Rocky Mountain Securities Conference

Transcription

1 50 TH ANNUAL Rocky Mountain Securities Conference The Rocky Mountain Region s PREMIER Securities Conference for 50 YEARS, presented by many of the country s most knowledgeable securities practitioners! Attend the 50th Annual Rocky Mountain Securities Conference, and get the latest on developments at the SEC, and what may be next Unmatched networking opportunities Hear from local, statewide, and national practice leaders Friday, May 11, 2018 Live at the Grand Hyatt Hotel 1750 Welton Street, Submitted for 7 General CLE Credits, Including 1 Ethics Recommended for 7 Hours of CPE Credit, Including 1 Ethics REGISTER ONLINE Go to TOPICS INCLUDE: SEC Enforcement Current Issues and Trends Regulated Entities Developments and Hot Topics Cryptocurrency Issues in Securities Enforcement Disclosure, Accounting and Audit Issues for Public Companies Current Trends in Securities and White Collar Defense Capital Formation for Small Business General Counsel Viewpoints: Devising and Maintaining an Effective Compliance Program Ethical Issues for Securities Industry Professionals The 50th Annual Rocky Mountain Securities Conference features a line-up of presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community. Co-sponsored by the U.S., the Business Law Section of the Colorado Bar Association, and the Colorado Society of Certified Public Accountants

2 TH ANNUAL Rocky Mountain Securities Conference You would have to travel to Washington DC or New York paying thousands of dollars to find a conference that offers as much as this for a fraction of the cost. Reserve your place and be part of this very special event right here in Denver! May 11, 2018 At the Grand Hyatt Hotel 1750 Welton Street, Street Welton Street If You Want to Get the Facts, Gain Insights About the Impact of the New Administration, and Hear from Voices of Experience, Don t Miss This Conference! Submitted for 7 General CLE Credits, Including 1 Ethics Recommended for 7 Hours of CPE Credit, Including 1 Ethics REGISTER TODAY SEATING IS LIMITED! Welton Street Grand Hyatt Denver 18th Street HONORING Robert ( Bob ) Davenport th Street Glenarm Place Bob went to work for the U.S. in 1958 as a staff attorney. He served as Chief Enforcement Attorney from and then was appointed Regional Administrator of the Central Regional Office (now the Denver Regional Office). He received the SEC Distinguished Service Award in 1978 and the Presidential Rank Award for Meritorious Executive in 1983 and In 1995, he was honored with the Commission's Special Act Award. Bob loved his work with the SEC and after 38 years, retired in Bob s vision and leadership started the Rocky Mountain Securities Conference in Bob passed away October 14, 2017, with family by his side after a long and heroic battle with COPD. We are honoring the legacy Bob created at the 50th Annual Rocky Mountain Securities Conference this year.

3 50 TH Annual Rocky Mountain Securities Conference PROGRAM AGENDA REGISTER ONLINE! Go to 8:00 AM Registration and Continental Breakfast 8:15 AM Welcoming Remarks Julie K. Lutz, Program Chair, Regional Director, SEC Denver 8:30-9:20 AM Enforcement Update Current Issues and Trends Join our panel of SEC and DOJ experts for an insightful analysis of current national and regional enforcement priorities, legal developments, and recent notable cases. Stephanie Avakian, Co-Director,, SEC Stephen Peiken, Co-Director,, SEC Joseph K. Brenner, Chief Counsel,, SEC Robert C. Troyer, U.S. Attorney for the District of Colorado MODERATOR: Kurt L. Gottschall, Associate Regional Director,, SEC Denver 9:20-9:30 AM Networking Break 9:30-10:20 AM Regulated Entities Developments and Hot Topics This session will present perspectives from the SEC, the securities bar, and the financial services industry on topics affecting investment advisers, investment companies, broker-dealers, and private funds. The panelists will discuss industry and legal developments, as well as the priorities and initiatives of the SEC s National Examination Program. Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations, SEC Susan Boudrot, Managing Director, Global Chief Compliance Officer, TD Ameritrade Holding Corporation Stephanie M. Monaco,, Mayer Brown LLP MODERATOR: Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver 10:20-10:30 AM Networking Break 10:30-11:20 AM Cryptocurrency Issues in Securities Enforcement Our expert panelists will review the application of blockchain technology and the use of cryptocurrency in the marketplace. The panel will also discuss the legal landscape and enforcement issues arising from cryptocurrency and initial coin offerings. Valerie Szczepanik, Cyber Unit,, SEC New York (Panel Member and Moderator) Michele Korver, Digital Currency Counsel, DOJ Richard B. Levin, Shareholder, Polsinelli LLP 11:20 am - 12:40 PM LUNCHEON AND PRESENTATION (lunch service from 11:20-11:50 am presentation from 11:50 am - 12:40 pm) FEATURED SPEAKER: SEC Commissioner Hester M. Peirce Hear from the recently-appointed Commissioner regarding her perspectives on legal and policy priorities for the SEC. 12:40 1:00 PM Networking Break continue to breakout sessions >

4 50 TH Annual Rocky Mountain Securities Conference PROGRAM AGENDA continued Breakout Session A: 1:00-1:50 PM Disclosure, Accounting and Audit Issues for Public Companies These national leaders address current hot topics in disclosure, accounting and auditing, including auditor independence issues, and other emerging areas of focus from the SEC and PCAOB. R. Gregory Spiers, Deloitte & Touche LLP Claudius B. Modesti, Director of Enforcement, PCAOB MODERATOR: Charles Wright, Senior Legal Advisor, Office of Chief Accountant,, SEC 1:50-2:00 PM Networking Break 2:00-2:50 PM Capital Formation for Small Business This session with regulatory, academic, and practicing professionals will provide practice pointers to avoid legal pitfalls for small businesses raising capital. The panel will cover Regulation D issues, including crowdfunding updates, and the SEC s regulatory efforts in this arena. Amy Reischauer, Special Counsel, Office of Small Business Policy, Division of Corporation Finance, SEC Andrew Schwartz, Professor of Law, University of Colorado Gerald Rome, Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, State of Colorado MODERATOR: Julie Herzog,, Fortis Law s, LLC 2:50-3:00 PM Networking Break Breakout Session B: 1:00-1:50 PM Current Trends in Securities and White Collar Defense This panel of expert defense counsel will discuss challenges in litigating and settling federal and state enforcement cases in light of shifting SEC and DOJ priorities and recent case law. Tom Krysa, Shareholder, Brownstein Hyatt Farber Schreck LLP Monica Loseman,, Gibson Dunn & Crutcher Cliff Stricklin,, Bryan Cave Leighton Paisner LLP MODERATOR: John F. Walsh, Wilmer Cutler Pickering Hale and Dorr, Former U.S. Attorney, District of Colorado 1:50-2:00 PM Networking Break 2:00-2:50 PM General Counsel Viewpoints: Devising and Maintaining an Effective Compliance Program Talented general counsels share their unique perspectives on best practices for creating and sustaining an effective compliance program. Margaret E. McCandless, Vice President and General Counsel, Intrepid Potash Margaret McLean, Senior Vice President and General Counsel, Teletech Holdings Inc. James Hearty, Senior Vice President and Chief Compliance Officer, DaVita, Inc. MODERATOR: Daniel F. Shea, Of Counsel, Hogan Lovells LLP, Former Regional Director, SEC Denver 2:50-3:00 PM Networking Break 3:00-3:50 PM Ethical Issues for Securities Industry Professionals 1 ETHICS CREDIT This interactive session focuses on the boundaries of ethical representation in complex transactions, civil securities and corporate litigation, and criminal proceedings. Lucas T. Ritchie, Moye White, LLP, Securities Subsection Co-Chair, Business Law Section, Colorado Bar Association Matthew Kirsch, First Assistant U.S. Attorney, U.S. Attorney's Office for the District of Colorado Valeri Pappas,, Davis & Ceriani P.C., MODERATOR: Gregory A. Kasper, Regional Trial Counsel,, SEC Denver 3:50 PM Conclusion, Evaluations and Adjourn to Hosted Networking Happy Hour

5 PROGRAM FACULTY PLANNING COMMITTEE: Julie K. Lutz, Program Chair Regional Director George Curtis (retired) Gibson, Dunn & Crutcher, LLP Former Regional Director Rebecca L. Franciscus Senior Counsel Regional Operations Christopher P. Friedman Assistant Regional Director Regional Operations Kurt L. Gottschall Associate Regional Director Donald Hoerl Consultant and Former Regional Director Denver Regional Office Thomas M. Piccone Associate Regional Director Office of Compliance Inspections and Examinations Daniel F. Shea Of Counsel Hogan Lovells LLP Former Regional Director FACULTY: Stephanie Avakian Co-Director, Susan Boudrot Managing Director Global Chief Compliance Officer TD Ameritrade Holding Corporation Boston, MA Joseph K. Brenner Chief Counsel Peter B. Driscoll Director Office of Compliance Inspections and Examinations Kurt L. Gottschall Associate Regional Director James Hearty Senior Vice President and Chief Compliance Officer DaVita, Inc. Julie Herzog Fortis Law s, LLC Gregory A. Kasper Regional Trial Counsel Matthew Kirsch First Assistant US Attorney United States Attorney's Office District of Colorado Michele Korver Digital Currency Counsel Department of Justice Tom Krysa Shareholder Brownstein Hyatt Farber Schreck LLP Richard B. Levin Shareholder Polsineilli LLP Denver/Washington DC Monica Loseman Gibson Dunn & Crutcher Margaret E. McCandless Vice President and General Counsel Intrepid Potash Margaret McLean Senior Vice President and General Counsel Teletech Holdings Inc. Claudius B. Modesti Director of Enforcement Public Company Accounting Oversight Board Stephanie M. Monaco Mayer Brown LLP Valeri Pappas Davis & Ceriani P.C. continued >

6 50 TH Annual Rocky Mountain Securities Conference PROGRAM FACULTY continued Stephen Peiken Co-Director Commissioner Hester M. Peirce Thomas M. Piccone Associate Regional Director Office of Compliance Inspections and Examinations Amy Reischauer Special Counsel Office of Small Business Policy Division of Corporation Finance Lucas T. Ritchie Moye White, LLP Securities Subsection Co-Chair Business Law Section Colorado Bar Association Gerald Rome Commissioner Colorado Division of Securities Department of Regulatory Agencies State of Colorado Andrew Schwartz Professor of Law University of Colorado Boulder, CO Daniel F. Shea Of Counsel Hogan Lovells LLP Former Regional Director R. Gregory Spiers Deloitte & Touche LLP Cliff Stricklin Bryan Cave Leighton Paisner LLP Valerie Szczepanik Cyber Unit New York, NY Robert C. Troyer U.S. Attorney for the District of Colorado John F. Walsh Wilmer Cutler Pickering Hale and Dorr Former U.S. Attorney District of Colorado Charles Wright Senior Legal Advisor Office of Chief Accountant THANK YOU! In addition to our distinguished faculty, we would also like to thank the following for their help in shaping this conference: Rebecca Campbell, CAE, CPE Director, Colorado Society of Certified Public Accountants (COCPA) John Eckstein, Director, Fairfield & Woods, P.C. Suneeta Hazra, Criminal Section Chief, U.S. Attorney's Office, District of Colorado

7 50 TH Annual Rocky Mountain Securities Conference Register by PHONE when using VISA, MC or AmEx In Denver: (303) Toll-Free: (888) Or FAX form to when using VISA, MC or AmEx FAX to: (303) Or MAIL form to CBA-CLE 1900 Grant St, Suite Or Register ONLINE when using VISA, MC or AmEx Go to CONFERENCE ORDER FORM YOUR COURSE TUITION INCLUDES: Course materials (please select paper or digital), and admission to the entire Conference, including lunch. YOU MUST INDICATE IF YOU PLAN TO ATTEND THE LUNCHEON OR ONE WILL NOT BE ORDERED FOR YOU. STEP 1 - REGISTRATION TYPE: (Select live program or live webcast) LIVE PROGRAM: MAY 11, At the GRAND HYATT DENVER, 1750 Welton Street, (BL051118L) STEP 2 - REGISTRATION TUITION: Non-Member CBA Member: CBA Business Law Section Member: Colorado CPA Society Member: Government Employee: New Lawyer CBA Business Law Section Member: CLE Elite Pass Holder: STEP 3 - LUNCHEON: YES - I will attend the luncheon I require a vegetarian selection NO - I will not attend the luncheon STEP 4 - SELECT MATERIALS FORMAT: (Please select one) Digital Download (PDF via sent approx hrs. prior to the seminar) Printed Book (pick up at seminar) LIVE CONFERENCE ORDER FORM TOTAL HOMESTUDY ORDER FORM To receive CLE Credit you must purchase both the course materials AND the recorded seminar. Homestudy is available in 2 formats: MP3 Audio Download, or Audio CD. When ordering, please indicate which format you wish to receive. Submitted for 9 General CLE Credits, including 1 Ethics Credit. STEP 1 - PRODUCT FORMAT: MP3 Audio Download (BL051118J) Paper course materials and recorded homestudy on Audio CD (BL051118D) STEP 2 - PAYMENT CATEGORY: Non-member: CBA Member: CLE Elite or Basic Pass Holders: (MP3 product ONLY)...FREE STEP 3 - COURSE MATERIALS ONLY: (Paper Only - BL051118C) Skip this step if you purchased the HOMESTUDY above. Non-member: 159 CBA Member: 129 NOTE: Shipping & handling only applies to orders you receive via mail. Materials will be mailed approximately 2 weeks after live program. Price Shipping & Handling Subtotal Applicable Sales Tax (7.62% Denver, 4% RTD and 2.9% rest of Colo.) THE BOB DAVENPORT SCHOLARSHIP CBA-CLE is offering two full scholarships for eligible attendees, chosen via a drawing. If you are interested and qualify, please complete the following and return your completed registration form to CBA-CLE. Yes No Yes No Yes No Yes No Name Atty. Reg. # Firm/Organization Address Street Address City/State/Zip Telephone ( I am a licensed attorney with less than 7 years in practice (with an emphasis in business law) I am personally responsible for paying for the Rocky Mountain Securities Conference (meaning a firm, employer, or other entity does not pay for same for your benefit) I work in the Denver metro area. I do NOT work in the Denver metro area. The deadline for submission is April 16, Please note that the scholarship does not cover all costs associated with the Conference (such as lodging, meals outside of the Conference, and transportation). If selected as a winner, you will be notified and you will reimbursed your registration fee. ) PAYMENT METHOD: Enclosed is my check made payable to CBA-CLE VISA MasterCard AmEx Credit Card # Exp. Date Signature Required for credit card orders All registrations must include a check or charge card information. Mail to CBA-CLE, 1900 Grant St., Suite 300, Denver, Colorado You may register by phone or fax when using MasterCard, Visa or AmEx. Phone Fax CANCELLATION POLICY: If you are unable to attend, please notify CBA/ CLE by May 7, 2018 and we will gladly refund your tuition in full, transfer your tuition to the homestudy, or you may send someone in your place. Cancellations after 5:00 pm on May 7, 2018 will be refunded less a 100 cancellation fee. HOMESTUDY ORDER FORM TOTAL CLE Use Only: Check #: Approval #:

8 50 TH ANNUAL Rocky Mountain Securities Conference 1900 Grant Street, Suite 300, Denver, Colorado Nonprofit Org. U.S. Postage Paid Permit No Friday, May 11, 2018 Live at the Grand Hyatt Hotel, Co-sponsored by the U.S., the Business Law Section of the Colorado Bar Association, and the Colorado Society of Certified Public Accountants REGISTER ONLINE Go to 50 TH ANNUAL Rocky Mountain Securities Conference Friday, May 11, 2018 Live at the Grand Hyatt Hotel 1750 Welton Street, The Rocky Mountain Region s PREMIER Securities Conference for 50 YEARS! Co-sponsored by the U.S., the Business Law Section of the Colorado Bar Association, and the Colorado Society of Certified Public Accountants