Published by Practising Law Institute

The new Securities Investigations provides the authoritative legal, procedural, strategic, and tactical guidance you need to handle external and internal securities investigations to minimize possible legal and financial damage.

Securities Investigations
addresses all facets of all types of securities investigations in one place. Designed to help you take the right steps at the right time to achieve the best possible outcomes for clients, Securities Investigations offers you clear coverage of:

  • The key role of internal investigations as preludes to government inquiries, with coverage of how to initiate an investigation, gather facts, and report findings.
  • The complicated issues raised by government requests to waive attorney-client privilege in exchange for cooperation ”credit” with the SEC and DOJ, including the disclosure of protected material.
  • The demanding process of cooperating with the SEC and DOJ in the wake of the Seaboard Report and Thompson and McNulty Memoranda.
  • Vital employment issues arising during investigations, such as how to investigate possible employee misconduct without running afoul of the Electronic Communications Privacy Act.
  • Representing individuals in securities investigations, including how best to address the demands of government and corporate investigators.
  • Communicating with company auditors during government investigations, including how to obtain important information and assistance from them.
  • Substantive charges leveled by civil and criminal authorities in securities-related matters, including aiding and abetting liability and criminal conspiracy.
  • Strategies for dealing with SEC and FINRA examinations and for handling formal investigations by various regulators.
  • The impact of the Federal Sentencing Guidelines, including the increasing emphasis on pre-charging negotiations with prosecutors, which can minimize legal trouble.
  • International securities enforcement developments, such as the major influence of the model UK Financial Services Authority and increasing cooperation between the SEC and foreign regulators.

Securities Investigations helps you to see how your actions in internal investigations can affect your clients’ interests in follow-on government investigations or civil litigation. It helps you understand the nuances of internal investigations, including what can happen when one is handled by an audit committee lawyer who does not represent the company in the government investigation. And the treatise gives you invaluable insight into the way the government investigates securities cases, which enables you to offer clients more effective real-time advice.