Overview

Securities Investigations provides the legal knowledge and practical strategies necessary to deal effectively with government investigations and internal investigations. The treatise guides attorneys in: conducting internal investigations; cooperating with the SEC and DOJ during investigations in ways that protect clients’ interests; implementing effective compliance measures; designing compliance programs that avoid common compliance deficiencies and help stave off lengthy SEC examinations; supporting clients during their investigation testimony; and handling a grand jury investigation.

Securities Investigations provides actionable coverage, beginning with an overview of enforcement efforts and response strategies, followed by discussions of:

  • Relevant substantive legal provisions, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act of 2002
  • An examination of internal investigations, including SEC, DOJ, and FINRA Guidance, and issues under the attorney-client privilege and the work-product doctrine
  • A detailed review of the types of securities investigations, including SEC and FINRA investigations, and issues under cross-border regulation and the Foreign Corrupt Practices Act
  • An in-depth examination of the various issues applicable to all types of securities investigations, including whistleblower protection under the Dodd-Frank Act and privacy considerations
Publication Date: August 2010
Last Updated: February 2024
ISBN: 9781402414459
Page Count: 1,024 pages
Number of Volumes: 1

Treatise

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Contents
  • Chapter 1: Overview of Federal, State and SRO Securities Enforcement Efforts: Strategies for Responding to Multiple Investigations and Related Actions
  • Chapter 2: Civil Enforcement of Federal Securities Laws—Substantive Violations
  • Chapter 3: Criminal Statutes Charged in Securities Cases
  • Chapter 4: Organizational Sentencing Guidelines
  • Chapter 5: The Role of Corporate Internal Investigations
  • Chapter 6: Conducting Internal Investigations
  • Chapter 7: Attorney-Client and Work Product Considerations in Internal Investigations
  • Chapter 8: Defending Federal Grand Jury Investigations
  • Chapter 9: Defending an SEC Investigation
  • Chapter 10: Cooperation in SEC and DOJ Cases
  • Chapter 11: The SEC’s Division of Examinations
  • Chapter 12: FINRA Investigations
  • Chapter 13: Cross-Border Regulation of the Financial Markets
  • Chapter 14: Enforcement of the Foreign Corrupt Practices Act and Other Anti-Bribery Laws
  • Chapter 15: Dealing with Parallel Actions
  • Chapter 16: Representing Individuals in Securities Investigations
  • Chapter 17: Communicating with the Company’s Auditor in a Securities Investigation
  • Chapter 18: Employment Issues in Securities Investigations
  • Appendices
  • Appendix A: The Thompson Memorandum
  • Appendix B: The McNulty Memorandum
  • Appendix C1: Remarks by Deputy Attorney General—Revisions to Corporate Charging Guidelines
  • Appendix C2: Press Release—Revisions to Corporate Charging Guidelines
  • Appendix C3: Department of Justice Corporate Charging Guidelines
  • Appendix D: The Seaboard Report
  • Appendix E: Recommended Practices
  • Table of Authorities
  • Index

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Testimonials

[Securities Investigations] collects the experience of many of the most experienced lawyers in securities law enforcement. This book belongs on the desk of every practitioner whose clients have a stake in securities investigations, whether civil or criminal.
Peter J. Romatowski, Partner, Jones Day; former Chief of Securities and Commodity Frauds Unit, U.S. Attorneys’ Office, Southern District of New York