The Securities and Exchange Commission’s (SEC) Enforcement Division is placing a greater focus on investigations and is growing its resources to reinforce its investigative functions. As a result, companies are increasingly confronted with the risk of prolonged regulatory scrutiny and the costs associated with responding to a formal or informal investigation.
On September 13, Advisen hosted a webinar on the current regulatory environment.
Beazley’s Bill Clarke & Rachel Turk, Kobre & Kim’s Jason Masimore, Woodruff Sawyer & Company’s Carolyn Polikoff, and Advisen’s Josh Bradford provided an overview of the investigative process, and discuss best practices for handling a regulatory investigation.
This free, one-hour webinar is sponsored by Beazley.
The following panelists participated in the webinar:
The following topics were discussed: