Utah (UT) 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.

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.