HomeWebcastSEC Investigations and Enforcement Actions in 2018: Practical Tips and Strategies
Online CLE SEC Investigations CLE

SEC Investigations and Enforcement Actions in 2018: Practical Tips and Strategies

Live Webcast Date: Wednesday, March 14, 2018 from 12:00 pm to 2:00 pm (ET)
CLE Securities LawCPE SecuritiesSEC CLE & CPERecording

Online CLE SEC Investigations

Join us for this Knowledge Group Online CLE SEC Investigations Webinar. Living by its three-fold mission, the United States Securities and Exchange Commission (SEC) is the country's leading weapon in protecting investors; maintaining fair, orderly and efficient market; and facilitating capital formation. As an independent federal investigative agency, the SEC conducts investigations on entities suspected to be violating the securities laws.

Such investigations and enforcement actions are crucial especially when it comes to regulating the stock market, and protecting investors against fraud. Because of this, it becomes highly imperative for public and private companies to be compliant with securities laws, as well as to be well-versed in the strategies for dealing with such investigations to minimize exposures to risks and legal pitfalls.

Listen as a panel of distinguished professionals and practitioners organized by The Knowledge Group provide the audience with the most significant SEC investigations and in actions during the first half of fiscal 2018. Speakers, among other things, will offer insights on the core investigation aspects, and how to strengthen their compliance, thus avoiding investigations. They will also give a comprehensive analysis of what to expect in the coming months.

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

  • SEC Investigations Updates
  • Recent Enforcement Actions
  • Common Mistakes that lead to SEC Investigations
  • Investigation and Enforcement Trends from 2017 to 2018
  • SEC and Other Regulatory Matters
  • Practical Tips and Strategies

Who Should Attend

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


Online CLE SEC Investigations
Susan Markel
Managing Director
Online CLE SEC Investigations
Michael Lowman
Jenner & Block LLP
Online CLE SEC Investigations
Kurt Wolfe
Allen & Overy LLP

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Online CLE SEC Investigations

Susan MarkelManaging Director

Michael LowmanPartner
Jenner & Block LLP

Kurt WolfeAttorney
Allen & Overy LLP

  1. Introductory Remarks [Knowledge Group]
  2. Overview of transition at the SEC (new leadership, etc.) [KURT: approx. 10 minutes]
  3. SEC Enforcement Trends [SUSAN]
  4. Focus on Conduct of Individuals [SUSAN]
  5. Sources of SEC Investigations [SUSAN]
  6. Examples of Specific Risks for Initiation of SEC Investigations [SUSAN]
  7. The SEC’s recent entry into the regulation of bit coins [MIKE]
  8. What to watch for in insider trading law in wake of Salman  and the Martoma case [MIKE]
  9. ALJs and Lucia [KURT: approx. 10 minutes]
  10. What may be the programmatic impact on the Supreme Court’s Kokesh decision, including SEC FCPA enforcement and the potential loss of the disgorgement remedy [MIKE]
  11. SEC Whistleblower Program Update [SUSAN]
  12. What may be the impact on public corporations following the Supreme Court’s Somers decision concerning whistleblower protection [MIKE]
  13. FRAUD Group, Accounting Areas of Focus, & Key Considerations [SUSAN]
  14. “Other” issues: (i) limiting “Chevron deference”; (ii) “oral downloads” as waivers; and (iii) blocking shareholder class action lawsuits [KURT: approx. 15 minutes]
  15. Q&A [Knowledge Group]

Online CLE SEC Investigations

Online CLE SEC Investigations

Susan MarkelManaging DirectorAlixPartners

Susan oversees 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 nationally and internationally on public reporting and accounting related to financial fraud investigations and other enforcement actions involving the SEC and other government entities.

Online CLE SEC Investigations

Michael LowmanPartnerJenner & Block LLP

Michael K. Lowman is a partner in Jenner & Block’s Securities Litigation and Enforcement Practice.  Drawing on his years of experience as counsel for the Securities and Exchange Commission’s Division of Enforcement, he represents public companies and their officers and directors in SEC investigations, securities class actions, individual suits by securities holders and derivative actions.  Prior to joining the firm, Mr. Lowman 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.  During this time, he acted as primary trial counsel in a wide variety of civil and administrative enforcement actions.  He investigated and, where necessary, tried complex financial fraud cases and also worked closely with federal, state and foreign criminal law enforcement agencies in parallel criminal proceedings arising out of SEC investigations.

Online CLE SEC Investigations

Kurt WolfeAttorneyAllen & Overy LLP

Kurt advises clients in connection with internal investigations and regulatory enforcement actions.

Kurt has helped some of the largest global financial services firms design and execute risk-based internal investigations, while navigating demands from regulators in related enforcement matters. In non-contentious matters, Kurt advises clients on developing and implementing compliance policies and procedures and he regularly conducts compliance training for employees.

Kurt has represented clients in enforcement actions brought by the Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the Department of Justice (DOJ), various state attorneys general, and other domestic and foreign regulatory and governmental bodies. Kurt has particular expertise in matters involving alleged securities or financial fraud, insider trading, FCPA compliance, and Ponzi scheme allegations.

Online CLE SEC Investigations

Course Level:

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast; Group-Internet Based

   Experience in securities laws

Course Code:

NASBA Field of Study:
   Business Law - Technical

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credits:
    2.0 NASBA-CPE

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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.

In today’ s fast paced global market timing is everything. You want to protect, grow or transform your business. To meet these challenges we offer clients small teams of highly qualified experts with profound sector and operational insight. Our clients include corporate boards and management, law firms, investment banks, investors and others who appreciate the candor, dedication and transformative expertise of our teams. We’ll ensure insight drives action at that exact moment that is critical for success.  AlixPartners’ investigative, dispute, and risk professionals help companies to clarify the facts within the legal landscape and manage regulatory and other risk. Our global teams includes forensic accountants, computer forensic technology experts, and former enforcement accountants who serve as independent compliance monitors and specialize in investigations in areas such as anticorruption, anti-money laundering, fraud allegations, and other misconduct.

When it really matters. www.alixpartners.com.

Website: https://www.alixpartners.com/

Jenner & Block is a law firm of international reach with more than 500 lawyers.  Our firm has been widely recognized for producing outstanding results in corporate transactions and securing significant litigation victories from the trial level through the United States Supreme Court.  Companies and individuals around the world trust Jenner & Block with their most sensitive and consequential matters.  Our clients range from the top ranks of the Fortune 500, large privately held corporations and financial services institutions to emerging companies, family-run businesses and individuals.  We have earned our reputation as a litigation powerhouse.  The 400 lawyers in our nationally recognized litigation department have won impressive victories in complex and challenging cases in a broad range of substantive areas of law and across a wide variety of industries, before federal, state and administrative courts and in arbitrations.

Website: https://jenner.com/

At a time of significant change in the legal industry, Allen & Overy is determined to continue leading the market as we have done throughout our 87-year history. To support our clients’ international strategies, we have built a truly global network now spanning 44 offices in 31 countries. We have also developed strong ties with relationship law firms in over 100 countries where we do not have a presence. This network makes us one of the largest and most connected law firms in the world, with a global reach and local depth that is simply unrivalled. Global coverage in today’s market does not simply mean having offices in important cities around the world. For us, it means combining our international resources and sector expertise to work on cross-border transactions directly in the markets and regions important to our clients.

Website: https://allenovery.com/

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