Whistleblowing in the Corporate World Series: Part 4 - An Insider Guide to the SEC Enforcement Process (live audio webcast)

Date:

Tuesday, October 9, 2012

Speaker(s):

Jordan A. Thomas, Labaton Sucharow LLP and former assistant director in the Enforcement Division, SEC

Fee:

$175

Time:

noon EDT, duration 1 hr

CLE Credits:

1 hr, see website for details

 

In this presentation, a former award-winning assistant director and assistant chief litigation counsel in the Enforcement Division of the SEC will use his deep knowledge of the national enforcement program and experience supervising, investigating and prosecuting high-profile cases to educate the public regarding this important institution and its enforcement policies, procedures and practices. He will cover the following: introduction to the mission and organization of the SEC; overview of the Division of Enforcement; sources of investigations; the investigative process; international investigations; parallel investigations with other state and federal financial regulators and law enforcement authorities; and key enforcement policies, procedures and practices