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SEC Compliance and Enforcement Answer Book (2015 Edition)

 
Author(s): David M. Stuart
Practice Area: Corporate & Securities
Date: Jun 2015 i Other versions can be found in the Related Items tab.
ISBN: 9781402424717
PLI Item #: 144579

SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure.

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
  • Disclosure issues in SEC enforcement actions and investigations
  • 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 become 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.

David M. Stuart is a partner in Cravath’s Litigation Department. He focuses on government and internal investigations, regulatory enforcement and compliance, and securities and derivative litigation. In the past several years, his engagements have involved issues related to financial reporting and disclosure, accounting restatements, improper payments and foreign corruption, insider trading, market manipulation, trade sanctions, whistleblower claims, cyber breaches and sexual harassment claims. He has appeared before the SEC, DOJ, U.S. Attorneys’ offices, state Attorneys General offices, PCAOB, CFTC, FINRA, and the New York Mercantile Exchange. Mr. Stuart has also conducted comprehensive reviews of corporate compliance programs and advised organizations on implementation of best practices in regulatory compliance. He participates in the Firm’s efforts related to blockchain and financial technology (FinTech).