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
This webcast covers:
- Basics of the SEC Enforcement Investigation Process
- Formal vs. Information Investigations
- Investigation Process – Rights and Obligations
- Priorities, Message Cases & Latest Changes to Enforcement’s Organizations & Processes
- “Event-Driven” Trend
- Responding to the SEC’s Information Gathering Requests
- Deciding Whether & When to Bring in Outside Counsel
- Cooperation with the SEC Staff
- Disclosures About Enforcement Proceedings
5-14-19
