Thought Leadership

Defending an SEC Investigation

Speeches & Presentations

On Monday, October 5, Baker Botts Partner Seth Taube co-hosted a lecture through Lawline to discuss the handling of an SEC investigation from inception through conclusion in this current environment.

Learning objectives include:

  • Identify the different sources from which an SEC investigation might be instituted
  • Review some key first steps that a securities attorney should consider
  • Evaluate “best practices” for responding to SEC requests for client documents and testimony
  • Navigate conflict of interest and multiple representations
  • Consider cases involving, or potentially involving, parallel proceedings by other agencies or regulators
  • Analyze unique aspects of international investigations

Click the title link below to view the full program.

Defending an SEC Investigation

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