Duff & Phelps' Ken Joseph Discusses SEC 2018 Enforcement Trends and Risk Management at Global Association of Risk Professionals Webinar

calendar2 July 25, 2018

Ken Joseph, Managing Director and Head of Disputes in the Governance, Risk, Investigations and Disputes practice at Duff & Phelps will share insights into Clayton’s enforcement agenda while departing from the controversial “broken windows” prosecutorial approach begun by his predecessor, Mary Jo White. A discussion on focus areas such as increased oversight on private funds, Initial Coin Offerings (ICO), and cryptocurrencies, cybersecurity controls and disclosures takes center stage.

Webinar time : 11:00 a.m. - 12:00 p.m. EST

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Key topics include:

  • Cybersecurity and preventing data breaches
  • Protecting retail investors
  • Targeting insider trading and financial fraud

Panel includes:

  • Moderator: Amy Poster, GARP Contributing Writer and former Senior Policy Advisor, US Department of Treasury-Office of Special Inspector General-TARP
  • Ken C. Joseph, Managing Director, Disputes and Investigations practice, Duff & Phelps; former Head of the Securities and Exchange Commission’s New York Regional Office Investment Management Examination Program
  • Thomas A. Zaccaro, Partner, Litigation Department, Paul Hastings LLP; former Chief Trial Counsel, Pacific Regional Office, Securities and Exchange Commission (SEC) 
  • Steven Hilfer, FRM, Managing Director in the Disputes & Investigations practice, Capital Markets, Navigant
 
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