How to Handle a Securities Regulatory Investigation

This course is only available in CD, DVD, or USB Stick format.
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About This Course

How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred.

During this CLE, our panel of experienced practitioners will discuss:

  • the various stages of a securities regulatory investigation
  • the initial contact
  • demand for documents
  • gathering and distilling data
  • on the record interviews (OTRs)
  • how to avoid full-blown enforcement actions
  • how to protect your client’s public CRD, and
  • ethical considerations to avoid conflicts of interest and rule violations

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