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ARTICLE · 08 APRIL 2020

Something Wicked This Way Comes: How To Survive An SEC Investigation Or Enforcement Action

Polsinelli PC
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Polsinelli's FinTech and Regulation Practice hosted a webinar on how to survive an SEC investigation and enforcement action.

United StatesTechnology
Richard B. Levin
Richard B. Levin
Jason Nagi
Jason Nagi
Paul J. Roshka, Jr.
Paul J. Roshka, Jr.

Tuesday, March 17, 2020

Polsinelli's FinTech and Regulation Practice hosted a webinar on how to survive an SEC investigation and enforcement action.

This webinar discussed what to do when the SEC contacts your firm, requests information from your firm, and issues subpoenas for documents and testimony.

Speakers

Agenda

  • What Triggers an SEC Investigation
  • Formal Investigations – the Order
  • Subpoenas and Testimony
  • The Well Process
  • The Value of Cooperation
  • Privilege Waivers How to Negotiate a Settlement with the SEC

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