Legal Series: How to Effectively Deal with an SEC Investigation LIVE Webcast

Production Date: Tuesday, April 24, 2012 from 12:00 pm to 2:00 pm (ET)

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)