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.