When a certain company is served with a subpoena from the Securities and Exchange Commission (SEC), it indicates that the Commission has obtained sufficient information to get a formal investigation order. It can be harrowing for any business entity to be served with such order as it may have a significant impact on the company’s resources and overall reputation.
An organization’s response to the initial inquiry and the management of its actions following the start of the investigation can be crucial in handling such dilemma. It is, therefore, imperative to be equipped with comprehensive knowledge in dealing with SEC investigations, especially in today’s landscape where enforcement actions are expected to increase as the Commission closely monitors the disruption of global capital markets due to the COVID-19 crisis.
In this LIVE Webcast, securities law experts Jennifer Marietta-Westberg (Cornerstone Research) and Jared L. Kopel (Alto Litigation) will provide the audience with an in-depth analysis of the recent trends and developments in SEC Investigations. As experts, they will offer a comprehensive guide to properly respond and deal with such investigations as well as an outlook of what’s ahead amid the current pandemic.
- A Guide to SEC Investigation
- Trends and Developments
- Responding to and Dealing with SEC Investigations
- SEC’s Response to COVID-19 and Crypto
- Best Practices