“[Securities Investigations] collects the experience of many of the most experienced lawyers in securities law enforcement. This book belongs on the desk of every practitioner whose clients have a stake in securities investigations, whether civil or criminal.”
—Peter J. Romatowski, Partner, Jones Day; former Chief of Securities and Commodity Frauds Unit, U.S. Attorneys’ Office, Southern District of New York
In the wake of the credit crisis and the globalization of commerce, investigations of financial institutions and corporations have become even more common. The new Second Edition of Securities Investigations: Internal, Civil and Criminal is a practice-oriented reference for practitioners who need to know not only the most recent law governing internal, civil, and criminal investigations involving potential violation of the securities laws, but also the nuances and practical tips that can only be shared by lawyers deeply experienced in such investigations. This hands on treatise is authored by numerous legal authorities who have collectively handled hundreds of securities law investigations and proceedings, ranging from internal investigations of minor problems identified by robust corporate compliance programs to high-profile criminal prosecutions, and compiles their expertise.
You’ll find thorough and readily actionable coverage beginning with an overview of enforcement efforts and response strategies, followed by discussions of relevant substantive legal provisions, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act of 2002; an examination of internal investigations, including SEC, DOJ, and FINRA Guidance, and issues under the attorney-client privilege and the work product doctrine; a detailed review of the types of securities investigations, including SEC and FINRA investigations, and issues under cross-border regulation and the Foreign Corrupt Practices Act; and an in-depth examination of the various issues applicable to all types of securities investigations, including whistleblower protection under the Dodd-Frank Wall Street Reform and Consumer Protection Act and privacy considerations.
Updated at least annually, Securities Investigations is a must reference for attorneys, executives, managers, compliance officers, regulators, accountants, and auditors.
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