Tag Archives: Internal Investigations

NEW Answer Book! SEC Compliance and Enforcement Answer Book 2015

Titles-7775-SEC-Comp-Enforce-AB-2015_20150602102052Counsel 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 2015please email the PLI Library Help Desk or call 877-900-5291.  SEC Compliance and Enforcement Answer Book 2015 is also available on Discover PLUS .


Deskbook on Internal Investigations Corporate Compliance and White Collar Issues

Release #5 is now available for the Deskbook on Internal Investigations Corporate Compliance and White Collar Issues.

At a time when companies are under greater legal scrutiny than ever before, executives and their legal counsel need practical, plain-English guidance on how to avoid potentially disastrous mistakes.  PLI’s Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues provides that necessary information. Stocked with easy-to-follow checklists, the Deskbook shows you how to carry out internal investigations that spot and stop legal problems, protect the rights of employees when they’re subject to investigation or prosecution, and cooperate with government investigators in ways that help reduce legal and financial damage if wrongdoing is proved.

The Deskbook also gives you step-by-step instruction on how to put together a comprehensive compliance program that can prevent legal missteps and help companies qualify for federal leniency programs if legal violations are committed.

 If your library is on standing order for this treatise, you can expect the release to arrive soon.  If you’d like to order the release please email libraryrelations@pli.edu or call 877-900-5291.