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.



  • 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
  • How to Manage Parallel Criminal Proceedings

The webinar will conclude with a discussion of the SEC's 2020 examination priorities. CLE credit pending.

To listen to the recorded webinar, click here

To view the presentation materials, click here.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.