SEC Compliance and Disclosure Update

October 25, 2016

Complimentary Webinar Series

12:30 – 1:30 p.m. (ET) | 11:30 a.m. – 12:30 p.m. (CT) | 9:30 – 10:30 a.m. (PT)

The McGuireWoods' SEC practice group gave an informative discussion of securities law developments, as well as guidance on compliance matters.

Topics & Speakers

EU’s New Market Abuse Regulations (MAR)
Mehboob R. Dossa, Partner 
The Market Abuse Regulations expand and develop what was the EU's market abuse regime under the Market Abuse Directive and encompasses unlawful behavior on the EU financial markets, including insider dealing, unlawful disclosure of inside information and market manipulation. MAR's extraterritorial scope covers non-EU issuers whose equity or debt is traded on any EU regulated markets and other EU trading platforms.

SEC Whistleblower Program Update and Enforcement Actions Under Whistleblower Protection Rule 21F
Jennifer L. Farer, Partner 
Jen will provide an SEC whistleblower program update and discuss the SEC's recent Rule 21F-17 enforcement actions focusing on employee severance agreements and confidentiality provisions.

Beating the House: Bondholder Protection After Caesars 
Shawn R. Fox, Senior Counsel 
Shawn will discuss Bondholder protections under the Trust Indenture Act of 1939 and applicable state law in light of the recent decisions in Caesars and Marblegate.

Moderated by Stephen Older, Partner