On February 26, Sidley Partner Lisa Miller will participate in a panel on “Enforcement Programmes and Priorities in the U.S. and UK” at the PLI’s two-day conference on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice. Lisa and her co-panelists will review significant enforcement priorities and recent investigations in the U.S. and UK and will identify key trends to watch for in 2025. Participants will be able to:
- Describe policy, regulatory, re-regulatory, and de-regulatory trends impacting the capital markets in the U.S. and Europe;
- Describe recent investigations, and explain charging and settlement issues that arise in multi-country enforcement;
- Explain cooperation and coordination strategies that exist between U.S. and UK regulators as contrasted with cumulative enforcement;
- Identify how the UK Senior manager regime impacts U.S. companies;
- Assess UK and U.S. regulator expectations of companies in responding to investigations;
- Explain how credit for self-reporting and cooperation works;
- Understand fines, sanctions and “piling on” considerations;
- Explain the significance of regulatory scrutiny around independence and conduct during internal investigations; and
- Apply methods for how best to achieve deterrence.
During the two-day conference, a faculty of experienced attorneys will discuss recent developments in global capital markets activity and enforcement and offer practical guidance for companies and financial institutions across Europe, the U.S., and beyond. The program is intended for corporate and securities lawyers in private practice, in-house counsel, financial professionals, and others in senior management whose decisions are affected by securities laws, cross-border mergers and acquisitions, private equity, and shareholder activists, and will address a broad range of topics encountered on a day-to-day basis.
PLI offers CLE credit in selected jurisdictions.
