Background - News & Events (Landing) 2016
Past Events

SEC Enforcement Webcast - "How to Handle a SEC Enforcement Inquiry Today"

March 7, 2006 • Online Webcast

Now that the SEC has provided new guidance in the Enforcement area under its new Chairman – and due to the constantly increasing number of SEC enforcement activities – it's more important than ever to understand how the Division of Enforcement's investigative process works. 

Among the topics of this program are:

  • What is the impact of the SEC's new statement on financial penalties on how you should respond to an inquiry?
  • What are the distinctions between formal and informal investigations, specifically the rights and obligations associated with each type of investigation?
  • How to respond to different ways that the SEC gathers information, including investigative testimony, document requests, and the subpoena enforcement process
  • What types of disclosures – if any – should be made during the different stages of an SEC enforcement action?
  • How does the relationship between the SEC and the DOJ impact how you approach an inquiry?

Crowell & Moring's Tom Hanusik, will be joining former SEC Enforcement Staffers Bill Baker, Partner, Latham & Watkins LLP; Jay Dubow, Partner, Wolf, Block, Schorr and Solis-Cohen LLP; and Russell Ryan, Partner, King & Spalding LLP, to provide practice pointers on what approaches work for the many different types of investigations that exist today.

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