32^ND ANNUAL SECURITIES ENFORCEMENT
AND REGULATORY PRACTICE CLE
Friday, February 27, 2026 | CLE Program (In-Person)
3 CLE hours, including 1 Ethics hour

AGENDA:

PRESIDING: Aaron Lipson, Program Co-Chair, King & Spalding LLP, Atlanta, GA
                      Paul Monnin, Program Co-Chair, Alston & Bird LLP, Atlanta, GA

8:15 AM -    REGISTRATION AND LIGHT BREAKFAST

9:00 AM -     WELCOME AND PROGRAM OVERVIEW 
                     Dean Richard Freer, Emory School of Law

9:05 AM -    INTRODUCTION TO THE CARNEY CENTER
                    Professor Andrew Jennings, Emory School of Law
 
9:15 AM -    A DISCUSSION WITH DEPUTY DIRECTOR OF ENFORCEMENT, PAUL TZUR
                    Speaker: Paul Tzur, Deputy Director of Enforcement (Atlanta, Chicago, Miami),
                                    U.S. Securities and Exchange Commission, Chicago, IL
                    Facilitator: Aaron Lipson

9:45 AM -    BREAK

9:50 AM -    CURRENT EVENTS, COMPLIANCE: REGULATORY BEST PRACTICES AND TIPS FOR
                    REGISTERED INVESTMENT ADVISERS, BROKER-DEALERS, AND MANAGED FUNDS
                    Panelists: Amie Benedetto, Partner, Alston & Bird LLP, Atlanta, GA
                                      Kenny French, Assoc. Director, Exam, U.S. Securities and Exchange Commission,
                                      Atlanta, GA
                                      Josh Levit, Chief Compliance Officer, ISSM and Private Markets, Americas, Invesco,
                                      Atlanta, GA
                                      Kristina St. Charles, General Counsel and Chief Compliance Officer,
                                      L&G – Asset Management, America, Chicago, IL
                    Moderator: Paul Monnin
Topics:
- Examinations Division Priorities, Risk Alerts, and Observations
- Registrant Fiduciary Duties
- Core Compliance Considerations
- Compliance Program Effectiveness
- Examination Practical Considerations and Best Practices

11:10 AM -    BREAK

11:20 AM  -    CURRENT EVENTS, ENFORCEMENT: ENFORCEMENT DEVELOPMENTS
                       IMPACTING REGULATED ENTITIES AND INDIVIDUALS
                       Panelists:  Stephen Cohen, Partner, Sidley Austin LLP, Washington, D.C.
                                          (former Assoc. Director, Enforcement, U.S. Securities and Exchange Commission,
                                          Washington,  D.C.)
                                          Nekia Hackworth, Partner, Jones Day, Atlanta, GA
                                          (former Deputy Director, Enforcement, Southeast, U.S. Securities and
                                          Exchange Commission, Atlanta, GA)
                                          Justin Jeffries, Assoc. Director, Enforcement, U.S. Securities and Exchange
                                          Commission, Atlanta, GA
                                          Joshua Mayes, Partner, Robbins Alloy Belinfante Littlefield LLC, Atlanta, GA
                                          (former Senior Trial Attorney, U.S. Securities and Exchange Commission,
                                          Atlanta, GA)
                       Moderator: Aaron Lipson
Topics:
- Current SEC Enforcement Priorities
- Changes in the Enforcement Process
- Remedies and Relief
- Cooperation Program
- Securities Enforcement beyond the SEC: DOJ, State AGs, FINRA, and the PCAOB

12:25 PM -   ADJOURN

Registration Fees:
Atlanta Bar Members - $149
Non-Atlanta Bar Members - $199
Government Attorneys, Law School Faculty and Law Students - $25
NOTE: Government Attorneys, Law School Faculty and Law Students who are not Atlanta Bar Members, please contact Siana Carmon to register at the $25 rate.

LOCATION:
Emory School of Law
1301 Clifton Road NE
Atlanta, Georgia 30322

By registering to attend this event in-person, you agree that your participation in this event is voluntary and that you are aware and understand that there is a risk you may become exposed to and/or infected by COVID-19 or any of its variants, and that this risk cannot be entirely eliminated even with adherence to all preventative measures including vaccination. Out of concern for the well-being of all attendees, you agree not to attend if you are not feeling well or have tested positive for COVID-19 within the 5 days preceding the event. 

1301 Clifton Rd NE
     Atlanta, GA 30322

Contact Siana Carmon to cancel your registration.  If you would like a refund, notice of cancellation must be received within 48 hours of the event.