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

Wednesday, May 21, 2014

2:00 - 2:45 pm, eastern [archive and transcript to follow]

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 as they provide practice pointers on what approaches work for many different types of investigations that exist today:

  • Dixie Johnson, Partner, King & Spalding LLP
  • Randall Lee, Partner, WilmerHale LLP
  • Tom Newkirk, Partner, Jenner & Block LLP

Among the topics of this program are:

  • How does the SEC's latest settlement policy 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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