Legal Series: How to Effectively Deal with an SEC Investigation LIVE Webcast
Overview:
Companies take precautionary efforts to be compliant with SEC rules. But let’s admit it. Mistakes happen and attorneys must work closely with clients to help them navigate an investigation and mitigate damage.
In a two-hour live webcast, a panel of thought leaders and key experts assembled by The Knowledge Group will offer valuable insight on how to effectively deal with a SEC investigation. Panelists will provide in-depth analysis of regulatory updates, the investigation process, and significant sanctions.
Agenda:
SEGMENT 1:
Deborah G. Heilizer, Partner,
Sutherland Asbill & Brennan LLP
- Conducting an independent internal investigation
- Engaging with the Staff about its concerns
- Cooperation costs and benefits
- Representation of individuals
- Maintaining the company’s credibility in responding to requests
SEGMENT 2:
Sandra Maria T. Parrado, Director, Forensic Services,
PwC LLP
- The Dodd-Frank Act and Whistleblower Provisions
- 2011 SEC Enforcement Activity
- Introduction to Fraud
- Performing a Fraud Investigation
- Special Considerations
- Conducting an Internal Investigation
- E-Discovery
- International Investigations
- External Parties
SEGMENT 3:
Jerome Tomas, Partner,
Baker & McKenzie LLP
- Negotiating scope of subpoena production
- Gathering/obtaining evidence and witness interviews overseas
- Cooperating with the staff — Are limited waivers of attorney client privilege and work product doctrine necessary, or can it be done without a waiver?
- Remedial measures — demonstrating a commitment to compliance
SEGMENT 4:
Gregory G. Ballard, Partner,
Sidley Austin LLP
- Representation issues (conflicts, joint representation issues, retention of separate counsel)
- Wells submissions (process, contents, strategy, disclosure issues)
- Settlement (status of no admission/no denial settlements, collateral consequences)
- Cooperation (the SEC’s cooperation initiative)
Who Should Attend:
- Attorneys
- General Counsel
- Business Lawyers
- Senior Managers
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
NONE
Course Code:
124264
NY Category of CLE Credit:
Total Credits:
2.0 CLE
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