On-Demand   MP4 - Mobile Video Seg

Regulators Roundtable

Recorded on: Jun. 30, 2014
Running Time: 01:30:10

Running Time Segment Title Faculty Format
[01:30:10] Internal Investigations 2014: Regulators Roundtable Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Lee G Dunst ~ Gibson, Dunn & Crutcher LLP
Katherine R. Goldstein ~ Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office
Nancy Kestenbaum ~ Covington & Burling LLP
Mei Lin Kwan-Gett ~ Deputy General Counsel & Global Head of Litigation, Citigroup
On-Demand MP3 MP4
Taken from the Web Program Internal Investigations 2014 Recorded June, 2014 in New York

Regulators Roundtable [01:30:10]
  • The regulators’ perspectives on internal investigations
  • Disclosing the investigation to regulators: why, when and how
  • Regulators’ perspectives on how companies navigate whistleblower issues; has Dodd-Frank changed how regulators are handling these issues and what they expect from companies?
  • Maintaining a dialogue with the regulators during the investigation
  • What will the regulators want to know?
  • Challenges posed by international investigations
  • Cooperation with the government
    - Waiver issues
    - Public disclosure of results
The purchase price of this Web segment includes the following article(s) from the Course Handbook available online:
  • Enforcement Manual, Securities and Exchange Commission, Division of Enforcement, Office of Chief Counsel, October 9, 2013
    Steven S. Scholes
  • Outline of Selected SEC Enforcement Actions, October 2013
    Andrew M. Calamari
  • Public Disclosures of the Results of Internal Investigations
    Mei Lin Kwan-Gett

Presentation Material


  • Regulators Roundtable
    Mei Lin Kwan-Gett
Speaker(s)
Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Lee G Dunst ~ Gibson, Dunn & Crutcher LLP
Katherine R. Goldstein ~ Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office
Nancy Kestenbaum ~ Covington & Burling LLP
Mei Lin Kwan-Gett ~ Deputy General Counsel & Global Head of Litigation, Citigroup

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