Tuesday, March 17

This webinar was previously recorded on March 17, 2020. To view the recording of this webinar, click here.  To access the materials from this webinar, click here. 

Something Wicked This Way Comes: How to Survive an SEC Investigation or Enforcement Action

Tuesday, March 17
12:00 PM - 1:00 PM CST

Join Polsinelli’s FinTech and Regulation Practice for a webinar on how to survive an SEC investigation and enforcement action.

This webinar will discuss 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.