9781402410642 (looseleaf) 1402410646 (looseleaf)
Practising Law Institute's corporate and securities law library.
Bibliography, etc. Note
Includes bibliographical references and index.
Formatted Contents Note
Ch.1. Overview of federal, state and SRO securities enforcement efforts: strategies for responding to multiple investigations and related actions -Ch. 2 Civil enforcement of federal securities laws - substantive violations Ch. 3. Criminal statutes charged in securities cases Ch. 4. Organizational sentencing guidelines Ch. 5. The role of corporate investigations Ch. 6. Conducting internal investigations Ch. 7. Attorney-client and work product considerations in internal investigations Ch. 8. Defending grand jury investigations Ch. 9. Defending an SEC investigation Ch. 10. Cooperation in SEC and DOJ cases Ch. 11. The SEC's Office of Compliance Inspections and Examinations Ch. 12. FINRA investigations Ch. 13. Cross-border regulation of the financial markets Ch. 14. The Foreign Corrupt Practices Act: enforcement by the SEC Ch. 15. Dealing with parallel actions Ch. 16. Representing individuals in securities investigations Ch. 17. Communicating with the company's auditor in a securities investigation Ch. 18. Employment issues in securities investigations.
Digital File Characteristics
Source of Description
Description based on print version record.
Available in Other Form
Print version: Securities investigations. New York City : Practising Law Institute, c2010-
Securities investigations. New York City : Practising Law Institute, c2008-