How to Effectively Deal with SEC Investigations and Enforcement Actions
Over the years, the U.S. Securities and Exchange Commission’s (SEC’s) enforcement efforts have grown more critical and complex. Along with the evolving securities laws is the SEC’s directives to continue its heightened enforcement on “Muni bond flipping, pay-to-play, pre-release ADRs, insider trading, SARs, and FCPA,” thus, posing tougher compliance challenges for companies and investors.
To overcome these challenges, it is imperative that companies are abreast of the developments in the regulatory paradigm. Revisiting their existing processes and coming up with advanced strategic plan are also necessary to ensure compliance.
Join a panel of distinguished professionals and thought leaders assembled by The Knowledge Group as they provide an in-depth discussion of the SEC’s investigations and enforcement actions in the 2019 landscape. Speakers will also offer best strategies to manage SEC investigations.
This LIVE Webcast will discuss the following:
- SEC Investigations: A Lookback
- Significant Trends and Updates
- Notable Cases and Court Decisions
- Risk Issues and Challenges
- Best Practices to Handle SEC Investigations and Enforcement Actions
- 2019 Regulatory Outlook
Smith Pachter McWhorter PLC
Who Should Attend:
- Corporate and Securities Attorneys
- Financial Fraud Practicing Lawyers
- Senior Financial Management
- Legal Counsel
- Financial Crime Attorneys & Consultants
- Top Level Management
- Private and Public Companies
- Other Interested Professionals
Michael Lowman represents public companies and their officers and directors in SEC investigations, securities class actions, individual suits by securities holders and derivative actions. Mr. Lowman has also handled many high stakes corporate and commercial cases, ranging from complex multi-party construction matters and commercial contract litigation to insurance coverage disputes and consumer class action defense. Mr. Lowman has also led many internal investigations into alleged accounting improprieties and counseled clients on securities, FCPA and whistleblower protection issues.
Prior to joining the firm, Mr. Lowman practiced for 20 years in some of the nation’s most prestigious law firms. He also served for five years as an attorney at the SEC’s Division of Enforcement, serving as both as Senior Counsel and as Assistant Chief Litigation Counsel.
Michael Lowman represents public companies and their officers and directors in SEC investigations, securities class actions, individual suits by securities …
Susan Markel is a Managing Director at AlixPartners, overseeing matters involving corporate financial reporting, regulatory investigations, whistle-blower actions, Foreign Corrupt Practices Act (FCPA) enforcement, and internal controls. Formerly at the US Securities and Exchange Commission (SEC), she served as chief accountant of the enforcement division. She has a Bachelor of Science in accounting from the University of Akron, is a CPA and certified in financial forensics. Susan has received several awards including the SEC’s Distinguished Service Award in 2006 and The National Law Journal's 2014 "Governance, Risk and Compliance Trailblazer and Pioneer." She is a speaker on public reporting and accounting related to financial fraud investigations and other enforcement actions involving the SEC and other government entities.
Susan Markel is a Managing Director at AlixPartners, overseeing matters involving corporate financial reporting, regulatory investigations, whistle-blower actions, Foreign Corrupt …
Print and review course materials
Method Of Presentation:
Live Webcast; Group-Internet Based
General knowledge of securities laws
NASBA Field of Study:
Business Law - Technical
NY Category of CLE Credit:
Areas of Professional Practice
2.0 CLE; 2.0 NASBA-CPE
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About Smith Pachter McWhorter PLC
Smith Pachter McWhorter PLC is a “go to” boutique law firm in government contracting, white collar, and construction law matters. The attorneys at SPM are nationally recognized leaders in these highly specialized areas of the law. The firm represents some of the largest government contractors and other corporations in the United States and abroad; the firm also represents many medium and small companies and provides the same level of service to all.
The firm’s white collar practice encompasses compliance counseling, internal investigations, federal government investigations, criminal litigation, and complex civil litigation. Partners in our firm have served as independent compliance monitors for global and domestic institutions.
About AlixPartners, LLP
Our Investigations, Disputes & Risk group works on corporate investigations, litigation and arbitration, and asset recovery, serving as forensic accountants, expert witnesses, data analysts, and independent examiners. We leverage our expertise as well as technology to drive and implement an integrated approach. The way we work – with our clients and with each other – is as much part of who we are as what we actually do. It’s what makes us different – and the partner of choice when it really matters.