How to Effectively Deal with SEC Investigations and Enforcement Actions in 2017


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SKU: 2017-02-02 Category: Tags: , ,


As the federal government’s principal investigative agency, the enforcement powers of the U.S. Securities and Exchange Commission (SEC) are vast and their resources are boundless. Whether SEC enforce an informal inquiry or a formal investigation, it has to be taken seriously. Recent activities suggest that SEC has a long-term intent to focus on financial reporting and disclosure cases. As a matter of fact, just in August 2016, the SEC has entered into a $52.7 million settlement with Apollo Global Management LLC to resolve charges that its four private equity fund advisers misled investors about fees and a loan agreement. The manner of every corporation’s initial response is just as important as mitigating potential pitfalls of noncompliance and hefty fines.

In this light, a panel of distinguished professionals and thought leaders assembled by The Knowledge Group will help the audience analyze key developments and recent SEC enforcement efforts. They will provide best practices in developing and implementing an effective compliance program and techniques to identify red flags of potential SEC investigations. Speakers will also provide a roadmap on how to respond to a more aggressive SEC investigations and enforcement actions in 2017.

Some of the major topics that will be covered in this course are:

  • SEC Enforcement Trends
  • Recent SEC Enforcement Actions
  • Triggering Events of SEC Investigations
  • The Role of Cooperation
  • New SEC Guidance on Cooperation in Investigations and Enforcement Actions
  • Discussion on Significant Issues for Financial Statement Disclosures
  • Results of Recent Litigations and Current Issues Arising from SEC Administrative Proceedings
  • Recent SEC Enforcement Efforts with Case Citations
  • Key Techniques to Identify Fraudulent Schemes
  • Best Practices in Developing an Effective Compliance Program