Download or read book The SEC Enforcement Process written by and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: "... discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees. This portfolio also examines related issues, including disclosure of an SEC investigation and issues arising out of parallel civil and criminal inquiries"--Portfolio description sheet (p. iii).
Download or read book The SEC Enforcement Process written by Colleen P. Mahoney and published by . This book was released on 2002-01-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book SEC Compliance and Enforcement Answer Book 2015 written by David M. Stuart and published by . This book was released on 2015-08-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
Download or read book The Securities Enforcement Manual written by Nicole A. Baker and published by American Bar Association. This book was released on 2007 with total page 774 pages. Available in PDF, EPUB and Kindle. Book excerpt: This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.
Download or read book Enforcement Manual written by United States. Securities and Exchange Commission. Division of Enforcement and published by . This book was released on 2008 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The SEC Enforcement Process written by Colleen P. Mahoney and published by . This book was released on 2007-01-01 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: ...discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees.
Download or read book The SEC Enforcement Process written by Colleen P. Mahoney and published by . This book was released on 2004 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Exchange Act of 1934 Release written by United States. Securities and Exchange Commission and published by . This book was released on 1962 with total page 868 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Accounting Series Releases written by and published by . This book was released on 1976 with total page 520 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Statistics on SEC s Enforcement Program written by United States. General Accounting Office and published by . This book was released on 1985 with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Four Ways To Improve SEC Enforcement written by Andrew N. Vollmer and published by . This book was released on 2016 with total page 18 pages. Available in PDF, EPUB and Kindle. Book excerpt: The enforcement program at the Securities and Exchange Commission has been the subject of severe criticism in recent years. The occasional reforms that have been adopted have not begun to root out the deeper, structural defects with the investigation and charging process at the SEC. Reforms going to the essence of the process and the way the Division of Enforcement operates are needed. The three fundamental problems with SEC enforcement are that the Commission and the Division of Enforcement (1) advance legal theories that are outside settled boundaries, (2) misunderstand or mischaracterize the factual record, and (3) fail to accord fair and impartial treatment to persons being investigated. The result is an unacceptably high number of cases that lack merit, meaning either that the extensive evidence collected by the SEC does not support the alleged violation or that the case relies on a legal theory that is not likely to be accepted by a court. The SEC can do better and be more effective. It can extend more fairness and consideration to those being investigated without any damage to tough enforcement. The paper describes four ways to improve SEC enforcement: • use established and accepted legal theories and do not base claims on new, untested liability theories, • create an objective and balanced investigative record that considers both potential wrongdoing and innocent explanations,• apply rigorous, neutral standards before opening investigations and initiating cases. A formal investigation should be based on credible evidence justifying a reasonable suspicion of a possible violation and on an evaluation of enforcement priorities. The Commissioners should not authorize a proceeding unless they believe a reasonable person would conclude that the SEC is more likely than not to prevail on the facts and the law and believe that a proceeding would serve broad and legitimate enforcement goals, and • substantially shorten investigations. Each member of the staff should make an effort to limit the number of documents requested and the number of individuals called for testimony. A fifth possible reform, discussed in an earlier article, is that the SEC should significantly narrow investigative subpoenas.
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Download or read book SEC Enforcement and White Collar Crime written by and published by . This book was released on 1979 with total page 828 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities and Exchange Commission Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations written by and published by DIANE Publishing. This book was released on 2007 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book United States Attorneys Manual written by United States. Department of Justice and published by . This book was released on 1988 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Adviser s Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Download or read book Corporate Crime and Punishment written by John C. Coffee and published by Berrett-Koehler Publishers. This book was released on 2020-08-04 with total page 214 pages. Available in PDF, EPUB and Kindle. Book excerpt: A study and analysis of lack of enforcement against criminal actions in corporate America and what can be done to fix it. In the early 2000s, federal enforcement efforts sent white collar criminals at Enron and WorldCom to prison. But since the 2008 financial collapse, this famously hasn’t happened. Corporations have been permitted to enter into deferred prosecution agreements and avoid criminal convictions, in part due to a mistaken assumption that leniency would encourage cooperation and because enforcement agencies don’t have the funding or staff to pursue lengthy prosecutions, says distinguished Columbia Law Professor John C. Coffee. “We are moving from a system of justice for organizational crime that mixed carrots and sticks to one that is all carrots and no sticks,” he says. He offers a series of bold proposals for ensuring that corporate malfeasance can once again be punished. For example, he describes incentives that could be offered to both corporate executives to turn in their corporations and to corporations to turn in their executives, allowing prosecutors to play them off against each other. Whistleblowers should be offered cash bounties to come forward because, Coffee writes, “it is easier and cheaper to buy information than seek to discover it in adversarial proceedings.” All federal enforcement agencies should be able to hire outside counsel on a contingency fee basis, which would cost the public nothing and provide access to discovery and litigation expertise the agencies don't have. Through these and other equally controversial ideas, Coffee intends to rebalance the scales of justice. “Professor Coffee’s compelling new approach to holding fraudsters to account is indispensable reading for any lawmaker serious about deterring corporate crime.” —Robert Jackson, professor of Law, New York University, and former commissioner, Securities and Exchange Commission “A great book that more than any other recent volume deftly explains why effective prosecution of corporate senior executives largely collapsed in the post-2007–2009 stock market crash period and why this creates a crisis of underenforcement. No one is Professor Coffee’s equal in tying together causes for the crisis.” —Joel Seligman, author, historian, former law school dean, and president emeritus, University of Rochester
