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About Michael D. Birnbaum
Michael Birnbaum, former Senior Trial Counsel at the U.S. Securities and Exchange Commission (SEC), has extensive experience investigating and litigating matters arising under the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Advisers Act, and the Investment Company Act, including those involving accounting and offering frauds, insider trading, the Foreign Corrupt Practices Act, custody and consumer protection rules, and data breach rules. Throughout his tenure at the SEC, he also worked closely with SEC investigative units, including the Asset Management Unit, the Market Abuse Unit, and the Complex Financial Instruments Unit, as well as with attorneys at various U.S. Attorney’s Offices, the Manhattan District Attorney’s Office, and foreign securities regulators.
Michael earned his J.D. from New York University School of Law, where he served as the editor for the Annual Survey of America Law, and his B.A. cum laude from Binghamton University. He is admitted to practice in the state of New York.
About Morrison & Foerster LLP
With approximately 1,000 lawyers in 17 offices across the U.S., Asia and Europe, Morrison & Foerster offers clients a comprehensive platform of global legal services, including extensive capabilities in the areas of corporate finance, mergers and acquisitions, tax, regulatory & compliance, litigation, and project finance, among many others. We leverage our substantial legal acumen to further one compelling mission: to deliver success for our clients. Our clients rely on us for innovative and business-minded solutions, and our achievements have not gone unnoticed. Morrison & Foresters placed in the top 20, out of more than 12,000 firms, for the total number of first-tier nationwide rankings in U.S. News – Best Lawyers® “Best Law Firms” report every year the report has been published. Of all the AmLaw 100 firms on the list with $1 billion or more in revenue, we have the highest combined score in diversity and pro bono. We believe that this demonstrates that Morrison & Foerster has succeeded financially not despite our cultural values, but because of them.
In response to the rapidly rising number of corporate scandals involving businesses and corporate executives, the Securities and Exchange Commission (SEC) continues to implement rigorous probes and enforcement actions over entities potentially violating federal securities laws. Key enforcement drivers include retail investor protection, cooperation, and the use of data analysis to identify wrongdoing.
An in-depth understanding of how the SEC’s Division of Enforcement conducts its investigation is crucial in devising an approach that will work best for a certain type of inquiry.
In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will present a comprehensive analysis of the SEC’s enforcement inquiry process. Speakers will also provide a practical guide on how to handle an enforcement inquiry considering the recent trends, developments, and legal issues surrounding this significant topic.
Key topics include:
• SEC Enforcement Inquiry Process – The Fundamentals
• Recent Trends and Legal Developments
• Risk Issues and Challenges
• Best Practices in Handling a Sec Enforcement Inquiry
• What Lies Ahead
About The Knowledge Group
The Knowledge Group is a leading provider of Continuing Legal Education, CLE, for lawyers, Continuing Professional Education, CPE, for accountants and a variety of other types of continuing education for other professions. Our mission is to deliver quality continuing education programs utilizing industry trends and the latest technology to communicate regulatory shifts and contributions made to different fields. Our insightful and engaging webcasts are brought to you by leading influencers to offer a multitude of perspectives and outlooks.
In bringing together thought leaders, regulators, and subject matter experts from around the world, The Knowledge Group strives to be the best-in-class provider of continuing education. The experts we engage with analyze the latest trends, insights, and developments in their industries to bring forth content you can’t get anywhere else.
We can be reached via our website, over the phone at (646) 844-0200 or email us at info ( @ ) theknowledgegroup dot org. We look forward to having you learn with The Knowledge Group.
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