March 8, 2013
Responding to an SEC investigation is more challenging now than ever before. The SEC’s Division of Enforcement is increasingly aggressive in its investigative techniques and in its choice of cases to pursue.At the same time, the agency is subjected to pressures arising from dislocation in the markets, congressional scrutiny and judicial skepticism.Gain insight to the challenges of responding to an SEC investigation in a time of turmoil from high-level SEC staff, along with veteran defense counsel. Topics to be discussed include: Strategy, tactics and ethical issues from defense and government perspectives; Current enforcement priorities and initiatives, including the SEC’s whistleblower program in action; Developments in insider trading enforcement; FCPA issues and investigations; The continuing focus on hedge funds and investment managers; and Financial crisis-related enforcement.
Online registration is currently closed.
Please either call 212-382-6663 or come directly to the program.
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SAVE MONEY: Do you want to save 20% on this class? Firms with fewer than 10 attorneys receive a 20% discount if 2 or more register for the same CLE program. Firms with 10 or more attorneys receive a 20% discount if 4 or more register for the same CLE program. If this discount applies, please do not register online. You must call the City Bar Center for CLE - 212-382-6663.
CLE
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New York, New Jersey & California CLE Credit: 7.5 total: 6.5 professional practice & 1.0 ethics.
This live program provides transitional/non-transitional credit to all attorneys.
Illinois Credit: 5.5 general & 1.0 ethics
Pennsylvania Credit: 5.5 general & 1.0 ethics
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Course Materials
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CLE Course Material Hard Copy
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CLE Course Book Material PDF
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