Missouri (MO) Investigations CLE Course Catalog

In this featured panel from the annual “Securities Enforcement Forum Central” event, SEC Regional Directors from five different offices stress the significance of cooperation, compliance, and enforcement actions to safeguard investors and tackle industry shortcomings. The Directors discuss their roles, discussing the importance of cooperation and recent SEC priorities.

When your organization goes through an internal investigation, this is the moment of truth for your legal and compliance program and where the work really happens. It is critical that, as soon as allegations come to light, the company decides decisions are made about whether to investigate, who should direct and conduct the investigation, the goals and scope of an investigation, and whether a report will be issued, and how to best prepare the company for a potential investigation by a government agency. This session will set forth a framework of best practices and key considerations for effective internal investigations, including the need for disclosure to and coordination with auditors, regulators, and others.

In an increasingly aggressive regulatory environment, making sure you are up to date on enforcement trends can be pivotal to minimizing regulatory risk. Join this session and hear from our speakers who will share key insights into enforcement trends across agencies, as well as concrete takeaways on how to build a solid foundation with regulators that will safeguard your organization against regulatory risk.

From the onset, we must think about What Will the Jury See? First, potential evidence must be preserved then the investigation should strike a balance between privilege and documentation. When outside counsel is involved, they should trust but verify the investigation and identify other investigative needs.

Investigations are never the ideal scenario and can sometimes be prevented with an effective monitoring program. However, how do you build a monitoring program that can reduce the risk of investigations, and what are the common issues to consider? In this session, our experts will discuss the best way to begin building a monitoring program, the impact of privacy regulations, and how technologies such as AI can be used to make the whole process more efficient.