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Join hosts, Michael Loesch and Brendan Quigley for the Energy Enforcement Insider, the podcast providing quick hits on the latest trends and developments in investigations and enforcement matters impacting the energy markets and energy market participants. Your hosts truly are insiders. Brendan led numerous complex investigations during his seven years as an Assistant United States Attorney in the Southern District of New York and Michael spent more than 14 years of his career in federal regulatory and legislative service, holding senior leadership positions at both the CFTC and the SEC. Their experience brings valuable insights and provides real-world tips for mitigating risks and addressing key compliance and investigation challenges.
Episodes
Tuesday May 07, 2024
Current Issues in Sanctions and Export Controls in Compliance
Tuesday May 07, 2024
Tuesday May 07, 2024
Baker Botts Partner Joyce Adetutu joins hosts Brendan Quigley and Michael Loesch to discuss current issues, sanctions and export controls in compliance Joyce focuses her practice on complex legal regimes governing the international trade of goods, technology and services as well as cross border investments.
This is a topic that has gotten the attention of the government over the last number of years so activities and potential penalties have ramped up on both the civil and governmental side of the issues.
Monday Mar 18, 2024
FERC Investigations Outlook; SEC Climate Disclosure Rule
Monday Mar 18, 2024
Monday Mar 18, 2024
Brendan Quigley and Michael Loesch are joined by new Baker Botts partner and former FERC Director of Investigations David Applebaum to discuss the latest trends in FERC Enforcement and the SEC’s climate disclosure rule.
Friday Dec 08, 2023
Are Compliance Officers in the Crosshairs?
Friday Dec 08, 2023
Friday Dec 08, 2023
Recently the SEC, the CFTC, and FINRA have all brought enforcement actions against compliance officers. In addition, SEC Enforcement Director Gurbir S. Grewal gave a speech back in October at the New York City Bar Compliance Institute in which he discussed at some length, the criteria, the SEC uses to decide whether to bring enforcement actions against CCOs. Hosts Michael Loesch and Brendan Quigley discuss whether they think compliance officers are back in the crosshairs.
Thursday Nov 16, 2023
Thursday Nov 16, 2023
During this episode, hosts Michael Loesch and Brendan Quigley invite Baker Botts Partner Bridget Moore to discuss fiscal year-end enforcement trends for the SEC, CFTC and DOJ. They also cover a recent CFTC enforcement advisory on penalties, monitors and admissions announced by CFTC Director of Enforcement, Ian McGinley, as well as implications for corporate compliance programs.
Thursday Oct 19, 2023
The CFTC’s Recent Recordkeeping Cases, and the Compliance Challenges Posed by AI
Thursday Oct 19, 2023
Thursday Oct 19, 2023
In this episode, partners Michael Loesch and Brendan Quigley discuss further activity and substantial penalties in CFTC recordkeeping and communications cases involving third party vendor failures. Brendan and Michael are also joined by firm partner Michael Ward to cover the disruption that is artificial intelligence (AI) and what that means to company compliance officers.
For more information please visit bakerbotts.com/services/practice-areas/artificial-intelligence-ai or bakerbotts.com/services/practice-areas/enforcements-and-investigations.
Wednesday Sep 13, 2023
Internal Investigations, Upjohn Warnings, and Thoughts on Best Practices
Wednesday Sep 13, 2023
Wednesday Sep 13, 2023
In this episode, partners Michael Loesch and Brendan Quigley discuss two recent cases that involved issues resulting from company counsel interviewing corporate executives in an internal investigation and the companies’ later decisions to share information from those interviews with government investigators. Brendan and Michael provide their thoughts on best practices for “Upjohn warnings” and other potential issues company counsel should consider when interviewing individuals.
Monday Jul 31, 2023
Monday Jul 31, 2023
In this first episode, Michael Loesch and Brendan Quigley discuss the CFTCs call for whistleblowers in the carbon markets, recent DOJ insider trading prosecutions, highlights on recent False Claims Act compliance issues, and notable items on the CFTC regulatory calendar.
Previous webinars from Michael and Brendan can be found at bakerbotts.com.
And the below are related client alerts:
Compliance and Enforcement Takeaways from Two Supreme Court False Claims Act Decisions
Second Circuit Insider Trading Decision May Have Broad Impacts on White-Collar Prosecutions