Responding to an SEC investigation is more challenging now than ever before. The SEC’s Division of Enforcement is increasingly aggressive in its investigative techniques and in its choice of cases to pursue. At the same time, the agency is subjected to pressures arising from dislocation in the markets, congressional scrutiny and judicial skepticism. Gain insight to the challenges of responding to an SEC investigation in a time of turmoil from high-level SEC staff, along with veteran defense counsel. Topics to be discussed include:

• strategy, tactics and ethical issues from defense and government perspectives;
• current enforcement priorities, and the impact of Dodd-Frank, including the SEC’s new whistleblower program;
• what to expect in the next wave of insider trading cases;
• the intense focus on hedge funds and investment managers;
• FCPA issues and investigations; and
• financial crisis-related enforcement.  

WilmerHale Partner Stephanie Avakian was a featured panelist at this event.