Regulatory Compliance Association Reviews

SEC Enforcement Practice 3


Date: March 27, 2018
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

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This course will deal in depth about the difficult subject regarding the appropriate degree of cooperation that defendants should provide during investigations to SEC and DOJ. The students will learn about the complex weighing and balancing of the costs and possible benefits of full or less cooperation. This course will also inform and educate financial professional about the SEC’s coordination with criminal authorities and other agencies. Also discussed will be the involvement of other agencies such as FINRA, PCAOB, CFTC in SEC investigations and cases. Knowing and understanding the repercussions of these aspects of the SEC’s practice will be valuable to financial professionals as they encounter examinations and investigations in the future by the SEC and other regulators.

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Roel Campos, JD, Partner, Hughes Hubbard & Reed LLP

Guest Lecturers:

Terence Healy, JD, Partner, Hughes Hubbard & Reed LLP
Tony Frouge, JD, Sr. Enforcement Counsel, NYSE Regulation

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