New SEC Guidance on Cooperation in Investigations and Enforcement Actions
Corporate Strategies to Prepare for and Respond to More Aggressive Agency Enforcement
SEC Enforcement Director - New individual cooperation measures a "potential game-changer for the Division of Enforcement"
Recording of a 90-minute CLE webinar with Q&A
This CLE webinar will prepare public companies, their officers, directors and employees to respond to more aggressive SEC enforcement. The panel will analyze new SEC guidance on individual cooperation in investigations and discuss the resulting legal concerns for corporations.
- Criteria for evaluating individual cooperation
- Assistance provided by individual
- Importance of underlying matter
- Interest in holding individual accountable
- Profile of individual
- New cooperation tools
- Cooperation agreements
- Deferred prosecution agreements
- Non-prosecution agreements
- Expedited immunity requests
- Proffer agreements
- Corporate response strategies
- Before an investigation
- During an investigation
- Lingering questions for corporations
The panel will review these and other key questions:
- What is the significance of the new SEC guidance for companies currently under SEC investigation or potentially facing investigation in the future?
- What factors will the SEC consider in deciding whether an individual is sufficiently cooperating in an investigation?
- What immediate actions should a company take when it learns that the SEC is investigating its activities?
- How will attorney-client privilege and work-product protection concerns factor into the cooperation process?
John J. Carney
He represents public companies, their officers, directors and employees, regulated entities and others in SEC... | Read More
He represents public companies, their officers, directors and employees, regulated entities and others in SEC investigations and criminal law enforcement investigations, as well as in related civil litigation. He works with audit committees, corporations, and senior officers of public companies to advise them during investigations and to design remedial compliance and corporate governance measures.Close
James R. Doty
He represents clients before the Securities and Exchange Commission in a full range of regulatory, enforcement and... | Read More
He represents clients before the Securities and Exchange Commission in a full range of regulatory, enforcement and compliance matters. His clients include publicly traded corporations, as well as investment banking and securities firms both in the United States and in other countries. From May 1990 through 1992, he served as the general counsel of the SEC.Close
Linda Chatman Thomsen
Davis Polk & Wardwell
She concentrates in matters related to the enforcement of the federal securities laws. She joined the SEC staff in 1995... | Read More
She concentrates in matters related to the enforcement of the federal securities laws. She joined the SEC staff in 1995 as Assistant Chief Litigation Counsel. In 1997, she was named Assistant Director of the Enforcement Division. She became an Associate Director in 2000, Deputy Director in 2002 and Director of the Enforcement Division in 2005, a position she held until 2009.Close