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.
Outline
- New SEC leadership in the Biden administration: implications for securities enforcement
- Rulemaking and guidance
- Climate change and ESG
- SPACs
- Cybersecurity
- Enforcement priorities
- SPAC acquisitions to be treated as IPOs
- ESG disclosures
- Disclosures relating to COVID-19/PPP fraud cases
- Cryptocurrencies
- Other
- SEC, DOJ, and CFTC: areas of shared jurisdiction
Benefits
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?
Faculty
Teresa Goody Guillén
Partner, Co-Leader Blockchain Team
Baker & Hostetler
Ms. Guillén has a broad securities, litigation/investigations and corporate practice that includes representing... | Read More
Ms. Guillén has a broad securities, litigation/investigations and corporate practice that includes representing businesses and individuals in securities enforcement and other government investigations and conducting investigations for corporate board committees and companies. She is a former litigation counsel for the SEC in its Office of the General Counsel, nationally regarded for the depth of her knowledge of the federal securities laws. Ms. Guillén also counsels on general corporate, securities and compliance issues, as well as capital raises under Regulations S, D, A+ and CF. Her experience includes emerging issues associated with blockchain, cryptocurrencies and digital assets, NFTs, decentralized autonomous organizations, web 3.0, DeFi platforms and alternative trading systems. Ms. Guillén has extensive experience in representing private and public companies, financial institutions, investment managers, boards of directors, corporate officers and others in complex financial, disclosure and corporate governance matters. She is often called upon to serve as an authority in court cases on corporate governance and fiduciary duties, and lectures at Georgetown McDonough School of Business on corporate governance, mitigating corporate risk and entrepreneurship. She also teaches "Digital Law and Policy" as an Adjunct Professor at Georgetown University, The Graduate School of Arts and Sciences.
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Michelle N. Tanney
Attorney
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.
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