Language: English . Brand New Book. 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 QA 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 QA guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers. N° de réf. du libraire
Titre : SEC Compliance and Enforcement Answer Book ...
Éditeur : Practising Law Institute
Date d'édition : 2015
Reliure : Paperback
Etat du livre : New
Description du livre Practising Law Inst, 2015. Paperback. État : Brand New. 2015 edition. 800 pages. 10.50x7.50x2.00 inches. In Stock. N° de réf. du libraire 140242471X