SEC (CLE)

Responding to and Dealing with SEC Investigations: A Comprehensive Guide

2022-09-29T01:11:59-04:00

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.

Cross-Border Investigations: Trends and Predictions for 2022

2022-08-30T05:30:54-04:00

Cooperation between global regulators and law enforcement authorities across borders has become more common today – a trend which resulted in a more complex and large-scale cross-border investigations. This joined-up approach, along with other challenges brought by the current remote work environment setup and the new administration’s enforcement priorities, has posed several challenges to investigators.

The SEC’s Enforcement Actions and Investigations: Managing Compliance Risks

2022-08-31T04:59:02-04:00

In this LIVE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will provide and present an in-depth analysis of the fundamentals as well as recent developments in The SEC’s Enforcement Actions and Investigations: Managing Compliance Risks. Speakers will also present all important issues surrounding this significant topic. Join us for this Knowledge Group Webinar!

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