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