-
- Webinar DVD's and CD's:
New SEC Investigations: Keys to Preparing For the SEC’s Crosshairs
Webinar Recording Price: 199.00 (U.S. Dollars) -
SUMMARY
Major changes have been made to the SEC enforcement and procedure processes. Companies and their counsel need to be prepared for more frequent and targeted investigations by the SEC. Do you know how to prepare for the new SEC investigations & ensure compliance? Join us for a 60 minute audio conference where you and your colleagues will discover:
- New enforcement developments you need to be prepared for
- Distinctions between formal & informal investigations- why it matters
- What types of disclosures should be made during SEC enforcement action?
- Preparing & presenting a Wells Process submission
- Strategies for counsel representing corporations in SEC investigations
-
PROGRAM BENEFITS
This practical, 60-minute conference will provide you with need to know information prepare you for new SEC investigation methods.
-
PROGRAM HIGHLIGHTS
- The New SEC Enforcement Environment - The Gloves Have Come Off
- Significant SEC Enforcement Actions and what they mean for you
- How to react to the different ways that the SEC gathers information
- Responding to SEC Requests for documents and testimony
- New Protocols for Cooperation: What every counsel needs to know
- What to Expect from the New SEC Enforcement & Wells Process
- The Wells Process and deciding to settle or litigate
- Legal implications of participating in Wells process
- Conflicts for firms representing multiple clients under investigations
- Responding to SEC Investigations in 2010- How to Be Prepared
- Litigating with the SEC- What you need to know
- How to conduct an effective internal investigation
- Strategies to conduct settlement negotiations
- Self-reporting and whether to waive the Attorney-Client privilege
- Question and Answer- Have real-world SEC investigations questions answered by our featured speaker!
- The New SEC Enforcement Environment - The Gloves Have Come Off
-
SPEAKER
As chair of Stradley Ronon's Securities Enforcement Practice Group, Greg DiMeglio represents and counsels public companies, investment companies, investment advisers, broker-dealers and individuals in connection with inquiries, investigations and enforcement actions by the U.S. Securities and Exchange Commission, grand juries, state regulators and industry self-regulatory organizations.
- He also conducts internal investigations designed to advise and assist companies, boards of directors and board committees in preventing and addressing agency actions, and represents companies and individuals in private securities litigation.
- Prior to joining Stradley Ronon, Mr. DiMeglio was a senior counsel in the SEC's Division of Enforcement in Washington, D.C.
- During nearly eight years with the SEC, Mr. DiMeglio was responsible for a number of significant enforcement investigations and actions involving financial fraud, reporting and disclosure violations, broker-dealer fraud and other violations of the federal securities laws.
- He received a Division of Enforcement Director's Award for his work on a complex financial fraud investigation.
-
CLE CREDITS
Continuing Legal Education CLE credit is available for an additional $65 per person in states where teleconferences are accredited
(States currently NOT included: KS, OH) -
PROGRAM MATERIALS
The speaker's PowerPoint presentation slides are included with your audio recording purchase. All materials are accessible through the Internet and can be downloaded as a PDF file.
-
PRICING
$199.00 for audio conference recording (CD or DVD) and program materials.
This is an outstanding program and therefore we offer purchasers a Money Back Guarantee. We are so confident that you will find the conference valuable that we offer a 100% money back guarantee from now until 30 days after the audio recording is shipped, making this a risk-free investment. If you should have any concerns, comments, or refund requests with this conference, please contact our customer service representatives at 800-964-6033. Audio recordings will be received approximately three weeks after the live conference.
- Register Now
- Webinar DVD's and CD's:
