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Vedder Thinking | Events ASECA Event: Recent SEC Enforcement Trends in the Asset Management Industry


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August 06, 2013

11:30 AM - 1:30 PM Central Standard Time


Vedder Price
222 N. LaSalle Street
22 Boardroom
Chicago, IL 60601

Association of SEC Alumni (ASECA) presents a panel discussion of "Recent SEC Enforcement Trends in the Asset Management Industry." The event is being hosted by Vedder Price.

Hear from experts in the arena who will cover the following key topics:

  • Board liability
    • In the Matter of J. Kenneth Alderman, CPA et al., SEC File No. 3-15127 ("Morgan Keegan")
    • In the Matter of Northern Lights Compliance Services, LLC SEC File No. 3-15313
  • Policy re: Settlements on "Neither Admit Nor Deny" Standard
  • In the Matter of Ranieri Partners, LLC and Donald W. Phillips, SEC File No. 3-15234
  • Janus Capital Group, Inc. v. First Derivative Traders Revisited 

Panelists include:

John Sikora, Assistant Director and Co-Chair of the Asset Management Unit, Chicago Regional Office of the SEC, Division of Enforcement

Charles (Chuck) Smith, Partner, Government Enforcement Matters, Skadden

Daniel T. Steiner, Executive Vice President and General Counsel, ICI Mutual

Thomas P. Cimino, Jr., Shareholder and Chair of Litigation Group, Vedder Price


David A. Sturms, Shareholder and Chair of Investment Services Group, Vedder Price

CLE Credit:

Vedder Price is an Accredited CLE Provider in Illinois and New York. Assuming Minimum Requirements are met, CLE will be available.


Thomas P. Cimino, Jr.


Junaid A. Zubairi