Securities Investigations provides the legal knowledge and practical strategies necessary to deal effectively with government investigations and internal investigations. The treatise guides attorneys in: conducting internal investigations; cooperating with the SEC and DOJ during investigations in ways that protect clients’ interests; implementing effective compliance measures; designing compliance programs that avoid common compliance deficiencies and help stave off lengthy SEC examinations; supporting clients during their investigation testimony; and handling a grand jury investigation.
Securities Investigations provides 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