American Conference Institute presents an Advanced Forum on Securities Regulation & Enforcement
With stepped-up enforcement and rising private litigation, its more likely than ever for a financial institution to be the subject of a regulatory investigation or be named as a defendant in private securities litigation. High-profile investigations, arrest, convictions and stories about sweeping crackdowns are all over the news. Not only is it more likely that your client will become a target but as well, the area is becoming increasingly complicated as an array of regulatory agencies pile on with new regulations and new enforcement initiatives.
ACI presents this advanced forum with top securities industry leaders on March 22-23, 2010 at The Carlton on Madison.
Paul Hastings partner Kevin Logue will moderate the following panel on Monday, March 22nd.
3:15 pm - 4:30 pmNavigating The Regulatory Investigation: A Practical Guide to Handling the Investigation Appropriately While Keeping Costs Down
Determining the scope of the investigation and who needs to be involved
Gathering appropriate documentation and information in preparation for the regulator while keeping costs down
Typical time frames and due dates for providing information
Finding the balance between cooperation with the regulator and negotiating a more favorable outcome for the company
Responding to requests for information and managing investigations where regulated and unregulated entities work together in the same office
Special considerations with respect to multinational investigations
Resolving conflicts of interest when employees are under investigation
Handling and managing the conflict between employees and corporate interests
Criteria for determining whether to defend the employee
How to determine when the employee, as a witness, needs counsel
For more information and to register, visit the