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MoFo to Host Philadelphia In-House Roundtable on SEC Enforcement and Cybersecurity Trends and Best Practices

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Morrison Foerster will host a program for in-house counsel in Philadelphia on recent SEC Enforcement and Cybersecurity trends, risk areas, and best practices over food and drinks on October 30, 2024.

<p>Morrison Foerster will host a program for in-house counsel in Philadelphia on recent SEC Enforcement and Cybersecurity trends, risk areas, and best practices over food and drinks on October 30, 2024. Kate Driscoll, a former prosecutor for the Eastern District of Pennsylvania who is now a partner in Morrison Foerster's Investigations + White Collar Defense group, will be joined by Haima Marlier, former SEC Senior Trial Counsel and co-chair of the firm’s Securities Litigation, Enforcement, and White Collar group, and Miriam Wugmeister, co-chair of the firm’s Privacy + Data Security group. Our conversation will center around SEC enforcement and cyber-related risks for public companies including:</p><ul><li>The impact of the SEC Cyber Rule on public companies, one year later;</li><li>Observations following Supreme Court cases and Executive Orders on privacy, cyber and AI;</li><li>Significant cases regarding cyber and enforcement trends; and</li><li>Implications for Boards and Disclosure Committees.</li></ul><hr>

<p>MoFo to Host Philadelphia In-House Roundtable on SEC Enforcement and Cybersecurity Trends and Best Practices</p>

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<p dir="ltr">Katherine (Kate) Driscoll is a partner in Morrison Foerster’s Investigations + White Collar Defense Practice Group. Kate focuses her practice on investigations, enforcement actions, and compliance, representing companies and senior business executives. Kate has extensive experience in a wide range of criminal and civil cases, with an emphasis on pharmaceutical and life sciences clients, related to healthcare fraud, the Anti-Kickback Statute (AKS), the False Claims Act (FCA), and the Foreign Corrupt Practices Act. Kate routinely consults with clients on all manner of compliance matters, including providing risk assessments, gap analyses, and maturity evaluations. Kate also recently completed a secondment with a global consulting firm, leading government-facing investigations relating to healthcare matters.</p><p dir="ltr">Prior to joining Morrison Foerster, Kate served as an Assistant United States Attorney in the U.S. Attorney’s Office for the Eastern District of Pennsylvania. Kate has significant trial experience, obtaining multiple jury and bench trial verdicts. As a federal prosecutor, Kate ran large-scale white-collar investigations, including complex wiretap and forensic financial investigations, involving healthcare fraud, illegal distribution of prescription drugs, money laundering, wire fraud, bank fraud, and tax fraud. Kate conducted parallel investigations with the Civil Division related to potential False Claims Act violations, and the SEC for potential violations of securities laws. Among her experience, Kate led the criminal prosecution of one of the largest theft of trade secrets cases in United States history, involving a leading multinational pharmaceutical company, and also led COVID-19-related government fraud investigations, involving the CARES Act and the Paycheck Protection Program.</p><p dir="ltr">Kate received the 2019 Inspector General’s Award for Excellence in Fighting Fraud, Waste, and Abuse for the successful prosecution and conviction of healthcare professionals who illegally distributed millions of dollars in prescription drugs. She was also part of the prosecution team that was awarded the Prosecutor of the Year Award for 2021 from the Coalition Against Insurance Fraud regarding work on a significant arson, healthcare fraud, and tax fraud prosecution that impacted hundreds of victims and caused significant damage to the City of Philadelphia. Kate has advised and worked closely with a variety of federal and local law enforcement agencies.</p><p dir="ltr">Kate is a lecturer at Yale University, teaching a course on white-collar investigations and prosecutions. Earlier in her career, Kate clerked for the Honorable Pamela K. Chen of the U.S. District Court Eastern District of New York. Kate earned her J.D. from the University of Pennsylvania Law School and her A.B. summa cum laude from Bryn Mawr College.</p><h4 dir="ltr">Representative Experience</h4><p dir="ltr"><strong>Defense Experience</strong></p><ul><li dir="ltr">Representation of an international consulting firm related to its work for opioid manufacturers, which involves complex, multidimensional work involving state attorneys general, DOJ, and congressional investigations, as well as more than 140 civil lawsuits that are now in a Multi-District Litigation.</li><li dir="ltr">Representation of Anthony Ornato, a former senior career civil servant who recently served as White House Deputy Chief of Staff of Operations, in the January 6 Select Committee investigation and related government investigations.</li><li dir="ltr">Representation of a multinational pharmaceutical and medical device manufacturer in various internal investigations relating to employees’ alleged kickback violations, submission of false claims, bribery, collusion with business partners, and corporate governance issues across North America.</li><li dir="ltr">Representation of a multinational holding company in a DOJ investigation arising from the client’s investment into a telehealth company under investigation for the unlawful prescription of controlled substances involving potential violations of the Controlled Substances Act (CSA) and the FCA.</li><li dir="ltr">Advising a pharmaceutical company seeking to mitigate AKS risk in supporting commercially insured patients in the transition to a new biosimilar therapy.</li><li dir="ltr">Representation of a global manufacturing company in reviewing and enhancing their anti-corruption and bribery codes of conduct, third-party due diligence protocols, and procurement policies.</li><li dir="ltr">Internal investigation in the U.S., Europe, and Latin America on behalf of a financial institution, which involved over US$1.3 billion in potential liabilities.</li></ul><p dir="ltr"><strong>Government Experience</strong></p><ul><li dir="ltr">Matter involving scientists employed by a multinational pharmaceutical company who were criminally charged for conspiracy, theft of trade secrets, wire fraud, and money laundering, all relating to theft of cancer research platforms, valued at more than US$550 million.</li><li dir="ltr">Matter involving a scientist who was extradited from Switzerland after indictment for conspiracy to steal trade secrets related to the theft of research and other confidential information from several multinational pharmaceutical companies.</li><li dir="ltr">Matter involving physicians criminally charged for prescribing more than US$5 million in prescription drugs used to treat opioid addiction outside the course of professional practice and not for legitimate medical purposes.</li><li dir="ltr">Matter involving a financial advisor who was criminally charged for diversion of client funds through bank, mail, and wire fraud, and aggravated identity theft.</li><li dir="ltr">Matter involving arson that displaced hundreds of victims and injured several firefighters. Obtained convictions for all defendants and US$22 million in restitution for the victims. Brought related indictments charging additional criminal conduct, including healthcare fraud, tax fraud, and federal benefits fraud.</li></ul><h4 dir="ltr">Memberships</h4><ul><li dir="ltr">National LGBTQ+ Bar Association</li><li dir="ltr">Philadelphia LGBTQ Bar Association</li><li dir="ltr">Pennsylvania Association Criminal Defense Lawyers (Planning Committee)</li><li dir="ltr">Federal Criminal Law Committee in the Eastern District of Pennsylvania (Executive Committee)</li><li dir="ltr">American Bar Association, Health Law Committee – Healthcare Fraud & Compliance Interest Group Leadership Team (Subject Matter Representative)</li><li dir="ltr">University of Pennsylvania Inn of Court</li><li dir="ltr">The American Health Law Association</li><li dir="ltr">Women’s White Collar Defense Association</li><li dir="ltr">National Association of Criminal Defense Lawyers (2021–22)</li><li dir="ltr">University of Pennsylvania LGBTQ Alumni Association, Steering Committee (2016–19)</li></ul>

Kate Driscoll

Partner

<p>Haima Marlier is co-chair of Morrison Foerster’s Securities Litigation, Enforcement, and White Collar Defense Group and of its Fintech practice. Drawing on her experience as a former Securities and Exchange Commission Senior Trial Counsel, Haima represents public and private companies, financial services providers, and executives, directors, and other individuals in SEC, CFTC, Financial Industry Regulatory Authority (FINRA), state securities regulator, and internal investigations, as well as in related litigation. She has more than 20 years of experience litigating in federal, state, and administrative courts, leading complex negotiations, and representing her clients in mediation. She also counsels clients regarding securities enforcement developments, trends, and risk mitigation.</p><p>Before joining the firm, Haima spent nearly a decade in the SEC’s Division of Enforcement. While at the SEC, Haima served as lead counsel on a number of prominent enforcement litigations and investigations involving public companies, registered investment advisers, broker-dealers, banks, and individuals in matters arising under the federal securities laws. She has also worked closely with foreign securities regulators, numerous U.S. Attorney’s Offices, and FINRA.</p><p>Haima serves on the board of trustees of the SEC Historical Society, a nonprofit dedicated to preserving the knowledge and history of financial regulation; mentors Penn State students of color who aspire to become lawyers; and is a member of the board of directors of, and a volunteer running coach for, Girls on the Run New Jersey, a nonprofit dedicated to inspiring girls to recognize their inner physical and emotional strength. She maintains an active pro bono practice.</p><p>Haima has been recognized by <em>Crain’s New York Business</em>’ Notable Women in Law and Notable Diverse Leaders in Law; <em>The Legal 500 USA</em> as a recommended lawyer in Securities Litigation: Defense, Investigations and White Collar Criminal Defense, and Fintech; the <em>Securities Docket’s </em>Enforcement Elite; and the <em>New York Law Journal</em> for her efforts in the diversity and inclusion space.</p><p>Haima received her J.D. from Boston College Law School and her B.A. from the Pennsylvania State University.</p><h4>Selected Significant Representations:</h4><h5>Cybersecurity</h5><ul><li>Successfully resolved an SEC investigation into a global technology solutions company’s cybersecurity risk disclosures and disclosure controls, policies, and procedures, with an acknowledgment by the SEC of the client’s significant remediation and cooperation.</li><li>Representing a global tech service management company in an SEC inquiry into its cybersecurity incidents and disclosures.</li><li>Represented numerous public companies and other clients in the SEC’s SolarWinds cybersecurity enforcement sweep.</li><li>Advising numerous public companies and SEC-registered firms on the efficacy of their cybersecurity disclosure controls and procedures and the materiality of cybersecurity incidents.</li><li>Represented a major technology company in an internal investigation into its cybersecurity statements and controls, policies, and procedures.</li></ul><h5>Fintech & Crypto</h5><ul><li>Represented a nonprofit foundation supporting a major blockchain, as well as two of its senior individuals, in an SEC investigation, with a complete termination letter issued by the SEC.</li><li>Successfully resolved an SEC crypto investigation into anti-money laundering and other compliance and monitoring programs on behalf a former senior bank executive.</li><li>Representing a leading cryptocurrency exchange platform in responding to SEC, CFTC, and state attorney general subpoenas and other requests for information.</li><li>Obtained a successful federal court settlement for a venture capital fund in a securities class action concerning an unregistered digital token offering.</li><li>Advising numerous Fintech companies, from startups to mature organizations, on securities enforcement compliance best practices and enforcement risk mitigation.</li><li>Represented a private investor in an SEC investigation related to a reverse merger involving a cryptocurrency company with no action taken by the SEC.</li></ul><h5>Artificial Intelligence</h5><ul><li>Representing a major tech company in an SEC investigation focused on AI-related disclosures and policies.</li></ul><h5>Accounting & Financial Reporting</h5><ul><li>Represented the former Chief Operations Officer of a major NASDAQ-listed food distributor in SEC and special committee investigations, with a complete termination letter issued by the SEC, as well as in related Delaware Court of Chancery litigation, which was favorably resolved.</li><li>Successfully resolved SEC and special committee investigations into related-party transaction disclosures and accounting issues, as well as related shareholder litigation, on behalf of a former CEO of a NASDAQ-listed company.</li><li>Represented an audit committee of a public company in an internal investigation resulting from a whistleblower complaint alleging accounting and disclosure issues.</li><li>Represented a leading public company in an internal investigation resulting from a whistleblower complaint alleging accounting and disclosure issues.</li></ul><h5>Other Securities Enforcement Matters</h5><ul><li>Represented the former CEO of a major company listed on the New York Stock Exchange in an SEC insider trading investigation with no action taken by the SEC.</li><li>Represented an individual in an SEC investigation concering the “pay-to-play” rule.</li><li>Represented a private investment fund in a COVID-19 related SEC insider trading investigation with no action taken by the SEC.</li><li>Represented a broker-dealer in a for-cause FINRA examination into anti-money laundering and other issues.</li><li>Represented a leading international company in government investigation into pharmaceutical drug pricing.</li><li>Represented a biotech company in a Massachusetts Securities Division investigation concerning securities registration exemptions and representations to investors regarding securities registration with no action taken by the state regulator.</li><li>Obtained a successful resolution for a pre-IPO biotech company in a wrongful termination lawsuit brought by a co-founder and former CEO terminated by the board of directors.</li><li>Represented the SEC in all stages of federal and administrative proceedings, including at trial and on appeal, in matters involving violations of the federal securities laws.</li></ul>

Haimavathi Marlier

<p>Few lawyers in the world have Miriam Wugmeister’s breadth and understanding of privacy and data security laws, obligations, and practices. As co-chair of Morrison Foerster’s preeminent global Privacy + Data Security Group, Miriam is regularly called upon by some of the world’s largest and most complex multinational organizations to confront their most difficult U.S. and international privacy and cybersecurity challenges. Ranked among the top in the profession by all major directories, her clients say: <em>“Miriam is the best privacy counsel in the country that I have ever worked with. Her advice is always spot-on, practical, and helpful, and her judgment is impeccable.” “Miriam is a true leader in her field. I appreciate her brilliance and expertise.” “She keeps up with a rapidly evolving area and is quick to answer the most challenging questions with practical guidance a business can use.”</em> (<em>Chambers USA</em>).</p><p>Miriam’s counsel is particularly prized for complex global privacy and data security incidents. She has navigated some of the largest and most consequential incidents in history, including assisting Mandiant when it discovered and warned the world about the SolarWinds compromise. Having helped hundreds of clients respond to cybersecurity incidents, Miriam is called upon to advise and educate boards of directors regarding cybersecurity and the key role that boards play in understanding and overseeing the potential risks. Miriam works with companies to develop comprehensive customized incident response plans, train staff, conduct extensive tabletop exercises, and address key issues with executive management. While she regularly advises clients on responses to ransomware attacks and other cyber extortion incidents, she works on all other aspects that arise in the context of large security incidents including communication strategies, notifications to customers, consumers, and regulators; public disclosures; interactions with law enforcement globally; litigation; and investigations by regulators around the world. Miriam advises organizations on the planning and execution of complex global compliance efforts and defends regulatory matters relating to privacy and cybersecurity in the United States and internationally.</p><p>Miriam serves as a board member of the <a href="https://sustainability.adp.com/adp-innovation-strategy.html#:~:text=In%20harnessing%20the%20power%20of%20big%20data%20through,that%20involve%20artificial%20intelligence%2C%20ML%20and%20big%20data." target="_blank">ADP AI & Data Ethics Committee</a> and is a leader in <a href="/capabilities/artificial-intelligence" target="_self">MoFo’s AI Group</a>, a cross-practice team that provides sophisticated, full-service representation to a wide range of clients with companies that both develop and use cutting-edge, rapidly changing technology in the AI space. Miriam uses her extensive industry experience and collaborative global approach to provide her clients with fast access to the newest trends and developments in AI.</p><p>As founder and leader of the Global Privacy Alliance (GPA), Miriam encourages the development of rational privacy laws around the world and monitors privacy practices, laws, and regulations globally. On behalf of the GPA’s members, she takes an active role in anticipating upcoming privacy legislation and educating regulators on the commercial implications of proposed regulations.</p><p><em>Chambers USA</em> and <em>Chambers Global </em>recommend Miriam in the top tier of privacy and data security lawyers worldwide, with clients commenting to <em>Chambers USA</em> that she is “extremely practical and phenomenally smart. Just about one of the best privacy advisers there is,” and <em>The Legal 500 US </em>recognizing her as a leading lawyer for her “professionalism and strong international presence.” For her work in data protection and privacy, Miriam was an inaugural inductee into <em>The Legal 500</em> Hall of Fame, which is comprised of outstanding U.S. lawyers who have been recommended as <em>The Legal 500</em>’s Leading Lawyers for the last six consecutive years. The <em>Cybersecurity Docket</em> has recognized Miriam as one of its Incident Response 50, a list of the top data breach response lawyers globally. She has been named one of <em>Financial Times</em>’ Top 10 Innovative Lawyers in North America and a <em>National Law Journal </em>Cybersecurity and Data Privacy Trailblazer for her breakthrough work in this space. Miriam was also previously designated as an <em>Ethisphere </em>Attorney Who Matters and a BTI Client Service All-Star.</p>

MoFo to Host Philadelphia In-House Roundtable on SEC Enforcement and Cybersecurity Trends and Best Practices

30 Oct 2024 5:30 PM - 7:30 PM EDT