Hot Topics in SEC Investigations: Investigations in a Time of Turmoil
Friday, Mar 08 2013

Responding to an SEC investigation is more challenging now than ever before. The SEC’s Division of Enforcement is increasingly aggressive in its investigative techniques and in its choice of cases to pursue.At the same time, the agency is subjected to pressures arising from dislocation in the markets, congressional scrutiny and judicial skepticism.Gain insight to the challenges of responding to an SEC investigation in a time of turmoil from high-level SEC staff, along with veteran defense counsel. Topics to be discussed include: Strategy, tactics and ethical issues from defense and government perspectives; Current enforcement priorities and initiatives, including the SEC’s whistleblower program in action; Developments in insider trading enforcement; FCPA issues and investigations; The continuing focus on hedge funds and investment managers; and Financial crisis-related enforcement.

New York, New Jersey & California CLE Credit: 7.5 total: 6.5 professional practice & 1.0 ethics. This live program provides transitional/non-transitional credit to all attorneys. Illinois Credit: 5.5 general & 1.0 ethics Pennsylvania Credit: 5.5 general & 1.0 ethics

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