When the SEC Comes Knocking
Strategies for Responding to SEC Investigations and Minimizing Penalties
Recording of a 90-minute CLE webinar with Q&A
This seminar will review current SEC enforcement activities and best practices for responding to an SEC subpoena, including protecting attorney-client and work product privileged documents. The panel will review strategies to prevail in an SEC investigation.
- SEC enforcement initiatives: structural and policy changes
- Division reorganization—streamlined case management
- Specialized units—types of investigations
- Formal orders
- Tolling agreements
- Cooperation by individuals
- Office of Market Intelligence
- Focus on financial services industry
- Strategies for responding to a subpoena
- Document production
- Attorney-client privilege and work product
- Negotiating the scope and production time period of subpoena
- Subpoenas for testimony
- Cooperation in the investigation—what’s required?
- Timely production of documents
- Results of independent investigations
- Written reports
- Witness interviews
- Waiver of attorney-client privilege
The panel will review these and other key questions:
- What SEC enforcement initiatives are directed at the financial services industry—financial advisors, funds and other financial institutions?
- What immediate actions should a company take when receiving a subpoena for records or testimony?
- What factors will the SEC consider in deciding whether the company is sufficiently cooperating in the investigation?
- How can counsel act to preserve the attorney-client privilege during an SEC investigation?
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
Richard W. Grime
O'Melveny & Myers
He represents clients in internal investigations and on a full range of securities enforcement, regulatory, and... | Read More
He represents clients in internal investigations and on a full range of securities enforcement, regulatory, and compliance matters. He also routinely represents clients in investigations before FINRA, the SEC and other government agencies. Before joining the firm, he spent over nine years in the Division of Enforcement at the SEC. In his last four years at the SEC he was an assistant director.Close
Hogan & Hartson
He practices in the areas of white collar criminal litigation, SEC enforcement and congressional investigations, and... | Read More
He practices in the areas of white collar criminal litigation, SEC enforcement and congressional investigations, and related complex litigation. He has managed multiple cases and investigations through the SEC, DOJ and Congress involving significant accounting issues and restatements, insider trading, foreign corrupt practices, internal controls, healthcare, false claims and qui tam complaints.Close