HomeWebcastHow to Effectively Deal with SEC Investigations and Enforcement Actions in 2019
Online CLE SEC Investigations CLE

How to Effectively Deal with SEC Investigations and Enforcement Actions in 2019

Live Webcast Date: Friday, August 16, 2019 at 3:00 pm - 5:00 pm (ET)
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Add Reminder to My Calendar 08/16/2019 2:00 pm 08/16/2019 5:00 pm America/New_York The Knowledge Group Webinar: How to Effectively Deal with SEC Investigations and Enforcement Actions in 2019 The event starts in an hour. If you have not registered, please go to the link below to sign up today.https://www.theknowledgegroup.org/checkout/?add-to-cart=103515\r\n 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. \n \nTo 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. \n \nJoin 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. \n \nThis LIVE Webcast will discuss the following: \n \n \n SEC Investigations: A Lookback \n Significant Trends and Updates \n Notable Cases and Court Decisions \n Risk Issues and Challenges \n Best Practices to Handle SEC Investigations and Enforcement Actions \n 2019 Regulatory Outlook \n \n https://www.theknowledgegroup.org/webcasts/sec-investigations-and-enforcement-actions-in-2019/

Online CLE SEC Investigations

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

Who Should Attend

  • Corporate and Securities Attorneys
  • Auditors
  • Financial Fraud Practicing Lawyers
  • Senior Financial Management
  • Legal Counsel
  • Financial  Crime Attorneys & Consultants
  • Top Level Management
  • Private and Public Companies
  • Other Interested Professionals

Faculty

Online CLE SEC Investigations
Michael Lowman
Partner
Smith Pachter McWhorter PLC
Online CLE SEC Investigations
Susan Markel
Managing Director
AlixPartners, LLP

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Online CLE SEC Investigations

Michael Lowman, Partner
Smith Pachter McWhorter PLC

Susan Markel, Managing Director
AlixPartners, LLP

Online CLE SEC Investigations

Online CLE SEC Investigations

Michael LowmanPartnerSmith Pachter McWhorter PLC

Online CLE SEC Investigations

Susan MarkelManaging DirectorAlixPartners, LLP

Online CLE SEC Investigations

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast

Prerequisite:
   General knowledge of securities laws

Course Code:
   147810

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credits:
   2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

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