• Joseph P. Facciponti attorney profile image Katherine M. McGrail attorney profile image

    Recent high-profile cases involving workplace sexual harassment and abuse have upped the stakes for businesses grappling with allegations of harassment and other misconduct by their employees. Leaving allegations of misconduct unaddressed, or mishandling internal investigations of the misconduct, carries significant potential reputational and economic risk to businesses. This program, led by two white collar defense and investigation partners at Murphy & McGonigle, will review best practices and potential pitfalls in conducting internal investigations of employee misconduct, with a focus on investigations concerning harassment and theft.

  • The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.

  • It’s a question of when, and not if, your company will experience a cyber incident. Are you prepared? And is your cybersecurity program up to speed? This program will walk you through the steps necessary to prepare for cyber threats, providing practical solutions for the legal and ethical challenges in protecting your business and data from cyber threats.

  • SIFMA’s Women’s Leadership Forum convenes senior financial industry professionals to share their insights on ways to enhance a positive culture within our industry.

  • Imagine that you have received a request from the CFTC or the NFA for records. This session will train session participants on various aspects of recordkeeping including format, retention and accessibility to better prepare you to respond to such an inquiry.

  • You are invited to join Hannah Berkowitz, James Dombach and Paul Merolla of Murphy & McGonigle, along with guest instructors Guy Miller of Citadel Securities and Etienne Barg-Townsend of KGS-Alpha Capital Markets, L.P., for a breakfast CLE program. We will review the regulatory landscape relevant to best execution, mark-ups and customer communications and will offer practical insight and tips on these important regulatory issues.