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"Big Changes Afoot: How to Handle a SEC Enforcement Inquiry Now"

Wednesday, April 14, 2010

2:00 - 3:00 pm, eastern [archive and transcript to follow]


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Now that the SEC has dramatically overhauled some of its Enforcement processes and procedures under a new Chair and Enforcement Director, it’s more important than ever to understand how the Division of Enforcement’s investigative process works. Join these experts – all former SEC Enforcement Staffers - as they provide practice pointers on what approaches work for many different types of investigations that exist today:

  • Colleen Mahoney, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
  • Chris Mixter, Partner, Morgan Lewis & Bockius LLP
  • Russ Ryan, Partner, King & Spalding LLP
  • Linda Chatman Thomsen, Partner, Davis Polk & Wardwell LLP

Among the topics of this program are:

  • How does the SEC's new policy statement on cooperation affect how you should respond to an enforcement inquiry? What does the SEC staff require to be "cooperative"?
  • What are the distinctions between formal and informal investigations, specifically the rights and obligations associated with each type of investigation?
  • How to respond to different ways that the SEC gathers information, including investigative testimony, document requests, and the subpoena enforcement process
  • What types of disclosures – if any – should be made during the different stages of an SEC enforcement action?
  • How does the relationship between the SEC and the DOJ impact how you approach an inquiry?

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