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When you’re in the crosshairs of government agencies, what happens? A global view

Join former regulators, GCs, regulatory counsel, and industry experts that will share war stories, real-life experiences and how to avoid missteps that can impact your career - and trigger the demise of your firm.

Featuring: Karl Wachter, General Counsel of Magnetar (Current AIMA Chairman and former General Counsel at Amaranth); Ian Mason, Partner at Walkers (Former Head of Department, Enforcement Division at the UK FSA); Suzan Rose, Senior Advisor at AIMA (Former Chief Compliance Officer at Marshall Wace North America); Steve Bruce, Managing Partner at ASC Advisors.

Topics to be covered include:

Insider trading
Regulatory topics
Market events
Unintended blow ups
Partnership disputes
Global enforcement actions
Dynamics where the firm and individuals at the firm are both under investigation
Co-operating with regulators/credit for cooperation
Legal privilege in investigations
Enforcement trends

The panel will also discuss how to prepare, respond, and recover from a crisis, with a view into the global regulatory mindset around enforcement.

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