SEC Enforcement Priorities for 2021: SPACs, ESG Disclosures, Cybersecurity, COVID Disclosures, PPP Fraud
Recording of a 90-minute premium CLE video webinar with Q&A
This CLE course will discuss SEC enforcement priorities for 2021, with a particular focus on special purpose acquisition companies (SPACs), environmental, social, and governance (ESG) issues, digital currencies, COVID-19 disclosures, and PPP fraud. The panel will also discuss how the appointment of Gary Gensler and other leadership changes under the new administration might affect SEC priorities going forward.
- New SEC leadership in the Biden administration: implications for securities enforcement
- Rulemaking and guidance
- Climate change and ESG
- Enforcement priorities
- SPAC acquisitions to be treated as IPOs
- ESG disclosures
- Disclosures relating to COVID-19/PPP fraud cases
- SEC, DOJ, and CFTC: areas of shared jurisdiction
The panel will review these and other key issues:
- How have disclosures connected to recently de-SPAC transactions varied from traditional IPOs, and what changes are anticipated under the current administration?
- What are the current disclosure obligations of public companies about ESG issues, and what are the potential requirements going forward?
- How has the SEC's focus on cybersecurity changed after SolarWinds and recent ransomware attacks?
- What types of COVID-related claims are being brought by federal enforcement agencies, and what are their respective roles?
Teresa Goody Guillén
Baker & Hostetler
Ms. Guillén has a broad-based securities and corporate practice that includes SEC investigations, securities... | Read More
Ms. Guillén has a broad-based securities and corporate practice that includes SEC investigations, securities litigation, assistance interacting with regulators and the government, and general securities and corporate advice. Her practice reflects years of experience in corporate governance, regulatory compliance and disclosure, crises management, strategic international business, and anti-corruption and fraud examination. Ms. Guillén has wide-ranging experience as a litigator, federal government regulator, business adviser, compliance facilitator, chief executive and operating officer, and board director. She often acts as outside general counsel to emerging and established companies, guiding them on legal and strategic business matters, and helping companies raise capital, often with exempt offerings under Regulations D, A+ and CF. Ms. Guillén’s experience includes issues associated with blockchain technology and cryptocurrency, and she is frequently requested to speak on issues related to digital assets, particularly as it relates to the application of the federal securities laws.Close
Michelle N. Tanney
Baker & Hostetler
Ms. Tanney brings a wealth of knowledge to her securities enforcement and litigation practice. Her involvement in... | Read More
Ms. Tanney brings a wealth of knowledge to her securities enforcement and litigation practice. Her involvement in regulatory compliance and disclosure informs her ability to counsel clients on a broad range of issues, including securities litigation, SEC investigations, enforcement actions and evolving financial regulations. Ms. Tanney also has in-house experience, having been seconded to a multi-billion dollar global investment firm in New York.Close