Counsel to broker-dealers, investment advisers, U.S.-registered issuers and other participants in the securities markets must have a thorough and clear understanding of the SEC’s enforcement mechanisms. PLI’s new SEC Compliance and Enforcement Answer Book 2015 is a comprehensive and concise reference book organized in an easy-to-use Q&A format.
Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division.
Conducting an effective internal investigation – while the SEC is simultaneously investigating
Responding to SEC requests and subpoenas for documents, interviews, and testimony
Cooperating effectively with SEC staff
The Wells process, negotiating resolutions, and litigating with the SEC
The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation
Additionally, SEC Compliance and Enforcement Answer Book 2015answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
This brand-new book presents a comprehensive and practical guide to preventing business fraud and corruption, and remedying unlawful behavior should it occur. Expert practitioners from around the globe offer an international perspective based on their extensive experience.
Whether you run a company that operates across international borders or provide legal counsel to such a company, this book provides an invaluable resource.
Part I of Global Business Fraud and the Law explores the nuts and bolts of global compliance issues and potential for internal investigations that could confront organizations and individuals conducting international commerce.
The new Q&A guide, authored by Matthew D. Lee (Blank Rome LLP), walks the reader through every aspect of the new requirements. The book explains FATCA terms and concepts, identifies which foreign financial institutions (FFIs) are covered by the Act (over 80,000 to date), and describes the obligations placed upon FFIs under the Act.
Additionally, Foreign Account Tax Compliance Act Answer Book 2015 provides guidance on how to create an acceptable compliance program and what is required to register as a foreign financial institution.
If you’d like to order the Foreign Account Tax Compliance Act Answer Book 2015, please email the PLI Library Help Desk or call 877-900-5291. Foreign Account Tax Compliance Act Answer Book 2015 is also available on Discover PLUS .
Insider Trading Law and Compliance Answer Book provides both the lawyer and the lay investor with a complete understanding of the criminal and civil issues that can arise, the possible penalties that could be incurred and the defenses available. It reflects the in-depth knowledge of legal practitioners who provide ongoing counseling and litigation representation to a wide array of clients.
Because the insider trading laws apply to everyone – not just corporate insiders – a proper understanding of both the basics of insider trading law as well as some of the complexities and nuances of this important area of the law is important to anyone who invests in the securities markets.
What is legitimate company research that can be freely acted upon and what is nonpublic information that may not
When acting on a “tip” can incur legal liability
The framework of penalties when insider trading has been successfully proven
With today’s turbulent financial markets, an increased number of insider trading charges and convictions are hitting the newspapers. Insider Trading Law and Compliance Answer Book, which fully integrates recent regulatory changes, will provide a concise road map, helping the reader to navigate the legal requirements safely.