"How to Handle a SEC Enforcement Inquiry Now"

Tuesday, May 14, 2019

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

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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, Cooley LLP
  • Joan McKown, Partner, Jones Day LLP

Among the topics of this program are:

  • How does the SEC's latest policies affect how you should respond to an enforcement inquiry, including what does the SEC Staff require to be "cooperative"
  • What are the distinctions between formal and informal investigations, specifically the rights & obligations associated with each type of investigation
  • How to respond to different ways that the SEC gathers information, including investigative testimony, document requests & 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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