6e. IA/IC/PF – SEC Enforcement Issues (OPEN)

Regulators will discuss how SEC investigations have changed under the new Chairman, and the life cycle of pending and recent enforcement actions, from preparation to resolution. Hear about enforcement coordination with examination staff and other SEC divisions, and how this has changed during the remote, ”work from home” environment.
Learning Objectives:
• Analyze recent and pending SEC enforcement actions, enforcement initiatives, sweep investigations,
and lessons learned over 2020 and 2021
• Learn about retaining and working with outside counsel, including the importance of privilege and attorney work product
• Learn when it is helpful to self-report; what cooperation means; and when is it right to litigate or settle.
• Discuss how best to respond to regulatory inquiries and subpoenas

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 11:30 am - 12:30 pm

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