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- Audio Conference Tapes and CD's:
Surviving the SEC: Proven Practice Tips & Investigation Strategies
Audio Conference Recording Price: 199.00 (U.S. Dollars) -
SUMMARY
Now more than ever, the SEC has stepped up its enforcement and investigatory activities. Are you prepared to protect your clients when the SEC turns its interests in their direction? Learn how to best respond to SEC inquiries and to conduct your own internal investigation. Join us for this 60-minute audio conference where you will discover:
- The common red flags that start an SEC investigation
- How to best respond to an SEC investigation
- Strategies for conducting effective internal investigations
- How to interview witnesses & obtain key information
- The common trap of representation that leads to waiver of privilege
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PROGRAM BENEFITS
This program will provide a comprehensive overview of the fundamentals of SEC Investigations and how best to protect your client's interests throughout the process.
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PROGRAM HIGHLIGHTS
- The SEC Investigative Process: What You Need To Know
- Understanding the Players: The Key Federal and State Agencies Involved
- Why is the SEC focusing on your Client? Common Red Flags
- Behind the scenes: What happens before the SEC targets your client
- How to Conduct An Effective and Privileged Internal Investigation
- What will the SEC be looking for and how should you respond?
- Critical due diligence steps to take to uncover the relevant facts
- Who to interview, how to do it, and what information to get
- Representing Your Client before the SEC: Traps to Avoid
- Attorney-Client privilege nightmares: Who is your client?
- Tips for responding to document subpoenas, including emails
- Strategies for avoiding incrimination in discovery and testimony
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LIVE Question and Answer Session - Have Your Securities Investigations
Seminar Questions Answered!
- The SEC Investigative Process: What You Need To Know
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SPEAKER
Paula Shaffner is a partner in the Philadelphia office of Stradley Ronon Stevens & Young, LLP, where she concentrates her practice almost entirely in securities litigation. Ms. Shaffner represents brokerage firms, brokers and investment advisors in virtually all aspects of their business.
- Her clients seek her counsel on compliance issues and count on her to defend them in regulatory actions brought against them. She handles regulatory investigations and enforcement actions brought by the Securities and Exchange Commission, state regulators, or self regulatory organizations.
- Ms. Shaffner has represented clients in federal and state court and before various industry arbitration panels, including the New York Stock Exchange (NYSE), the National Association of Securities Dealers (NASD) and PHLX.
- Ms. Shaffner has completed a multi-year certification program in Securities Compliance offered jointly by the NASD and the Wharton School of the University of Pennsylvania and is a designated Certified Regulatory and Compliance Professional (CRCP). She has also authored articles and lectured on litigation involving the securities industry.
- She has been designated a "Pennsylvania Super Lawyer" by Philadelphia Magazine and Law and Politics magazine, 2004 to present.
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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.
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PRICING
$199.00 for audio conference recording (CD or audiotape) 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. Audio recordings will be received approximately three weeks after the live conference.
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