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.
Leveraging the authors’ experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on:
- 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 2015 answers 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.
If you’d like to order SEC Compliance and Enforcement Answer Book 2015, please email the PLI Library Help Desk or call 877-900-5291. SEC Compliance and Enforcement Answer Book 2015 is also available on Discover PLUS .