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
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View Detailed 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
