Boston University School of Law

"The Market Abuse Unit as a Response to the Call for Specialized Federal Securities Law Enforcement" a lecture by Daniel M. Hawke (LAW '89)

Summary

"The Market Abuse Unit as a Response to the Call for Specialized Federal Securities Law Enforcement" a lecture by Daniel M. Hawke (LAW '89)

Description

The BU Center for Finance, Law & Policy, the Graduate Program in Banking & Financial Law and the Review of Banking and Financial Law present a lecture by Daniel M. Hawke (LAW 1989), National Unit Chief, Market Abuse Unit, Division of Enforcement and Director, Philadelphia Regional Office, U.S. Securities and Exchange Commission.

In his capacity as Unit Chief, Mr. Hawke oversees nationwide investigations into large-scale insider trading networks and rings -- so-called "organized" insider-trading, large cap market manipulations, system-based and platform-driven trading violations such as front running, collusive trading, best execution and abusive short selling violations as well as other systemic, institutional regulatory violations, internal control violations and other abusive market practices. In his capacity as Regional Director, Mr. Hawke oversees the Commission's regulation and enforcement programs in Pennsylvania, Delaware, Maryland, Virginia, West Virginia and the District of Columbia.
Mr. Hawke joined the SEC's Philadelphia Office in March 2005 as head of its enforcement program. Between 1999 and 2005, he served as a Branch Chief and Senior Counsel in the SEC's Division of Enforcement in Washington, D.C. where he was involved in bringing significant enforcement actions involving public company accounting and financial disclosure, broker dealer regulation, insider trading and Regulation FD.
Prior to joining the Commission, Mr. Hawke was a litigation partner at the law firm of Tucker, Flyer & Lewis in Washington, D.C. Mr. Hawke, 48, is a 1989 graduate of Boston University School of Law, where he was Editor-in-Chief of the Boston University International Law Journal, and a 1985 graduate of Tulane University where he received his bachelor's degree in political science.

Starts

12:00pm on Wednesday, February 8th 2012

End Time

1:00pm

Location

School of Law, Barristers Hall

Topics

Alumni, Faculty/Staff, BU Law Home, J.D. Central, LL.M. Central