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Legal Series: How to Effectively Deal with an SEC Investigation
   LIVE Webcast  


Event Details:                                                                                                                                                          

Companies take precautionary efforts to be compliant with SEC rules. But let’s admit it. Mistakes happen and attorneys must work closely with clients to help them navigate an investigation and mitigate damage.

In a two-hour live webcast, a panel of thought leaders and key experts assembled by The Knowledge Group will offer valuable insight on how to effectively deal with a SEC investigation. Panelists will provide in-depth analysis of regulatory updates, the investigation process, and significant sanctions.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Advance Preparation: Print and review course materials
Course Code: 124264
Recording Fee: $299 (Please click here for details)


Featured Speakers for Legal Series: How to Effectively Deal with an SEC Investigation LIVE Webcast :

Agenda  (click here to view more.)
Deborah G. Heilizer, Partner,
Sutherland Asbill & Brennan LLP

  • • Conducting an independent internal investigation
  • • Engaging with the Staff about its concerns
  • • Cooperation costs and benefits
  • • Representation of individuals
  • • Maintaining the company's credibility in responding to requests
Sandra Maria T. Parrado, Director, Forensic Services,

  • • The Dodd-Frank Act and Whistleblower Provisions
  • • 2011 SEC Enforcement Activity
  • • Introduction to Fraud
  • • Performing a Fraud Investigation
  • • Special Considerations
    • 1) Conducting an Internal Investigation
    • 2) E-Discovery
    • 3) International Investigations
    • 4) External Parties

Jerome Tomas, Partner,
Baker & McKenzie LLP

  • • Negotiating scope of subpoena production
  • • Gathering/obtaining evidence and witness interviews overseas
  • • Cooperating with the staff -- Are limited waivers of attorney client privilege and work product doctrine necessary, or can it be done without a waiver?
  • • Remedial measures -- demonstrating a commitment to compliance
Gregory G. Ballard, Partner,
Sidley Austin LLP

  • • Representation issues (conflicts, joint representation issues, retention of separate counsel)
  • • Wells submissions (process, contents, strategy, disclosure issues)
  • • Settlement (status of no admission/no denial settlements, collateral consequences)
  • • Cooperation (the SEC’s cooperation initiative)

Sutherland Asbill & Brennan LLP
Deborah G. Heilizer
speaker bio »»

Sandra Maria T. Parrado
Director, Forensic Services
speaker bio »»

Baker & McKenzie LLP
Jerome Tomas
speaker bio »»

Sidley Austin LLP
Gregory G. Ballard
speaker bio »»

Who Should Attend?

- Attorneys
- General Counsel
- Business Lawyers
- Senior Managers

Why Attend?

This is a must attend event for attorneys who want to hear the latest in terms of how to effectively deal with SEC investigations.
- Detailed guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Space is limited; advanced registration is recommended. We also offer deep discounts for early birds! So enroll in this course now by clicking the “Register” button below.

Registration Information:                                                                                                                                    

Please note, the event date is firm although it may be subject to change. Please click here for details.
The Knowledge Group, LLC is producing this event for information purposes only. We do not intend to provide or offer business advice. The contents of this event are based upon the opinions of our speakers. The Knowledge Congress does not warrant their accuracy and completeness. The statements made by them are based on their independent opinions and does not necessarily reflect that of The Knowledge Congress' views. In no event shall The Knowledge Congress be liable to any person or business entity for any special, direct, indirect, punitive, incidental or consequential damages as a result of any information gathered from this webcast.


































Legal Series: How to Effectively Deal with an SEC Investigation
LIVE Webcast

Event Sponsors / Speaker Firms:

Sutherland Asbill & Brennan LLP is a law firm with global reach known for solving challenging business problems and resolving sophisticated legal issues for many of the world's largest companies. Founded in 1924, the firm handles matters throughout the United States and worldwide. Seven major practice areas-corporate, financial services, energy and environmental, intellectual property, litigation, real estate, and tax-provide the framework for an extensive range of focus areas, allowing Sutherland attorneys to serve a diverse client base that ranges from small and medium-sized start-up businesses to a significant number of Fortune 100 companies.

PWC global Forensic Services team of experienced professionals is dedicated to meeting the challenges caused by fraud allegations, financial crimes and other irregularities. Our portfolio of specialist services includes: Financial Crime Examinations, Forensic Technology Solutions, Regulatory Compliance Reviews, Fraud Risk Management and Fraud Prevention, Dispute Analysis and Litigation Support.

Baker & McKenzie’s Securities Litigation & Enforcement practice helps clients worldwide navigate regulatory investigations and enforcement actions and defend civil litigation and federal/state criminal charges when necessary. We draw upon our attorneys' diverse backgrounds in securities regulation, enforcement and dispute resolution to advise and represent public companies and their officers and directors in class actions, derivative lawsuits, SEC investigations and non-class securities litigation. We also represent brokerage and investment firms, financial advisors, mutual funds, financial institutions, accounting firms and other professionals in civil and administrative actions relating to securities issuance and transactions. Our securities practitioners, including attorneys formerly with the SEC and U.S. Attorneys Office, provide clients with effective advice to help evaluate critical business decisions. The firm’s international reach is invaluable to multinational companies vulnerable to regulatory scrutiny in the U.S. and abroad. We have extensive experience counseling and representing both U.S. multinational and non-U.S. companies in private SEC-related litigation and government regulatory investigations.

Sidley Austin LLP is one of the world's premier law firms, with a practice highly attuned to the ever-changing international landscape. The firm has built a reputation for being a powerful adviser for global business, with approximately 1700 lawyers in 18 offices worldwide. Sidley maintains a commitment to providing quality legal services wherever they are needed, offering advice in transactional, regulatory and litigation matters spanning virtually every area of law. The firm’s lawyers leverage their diversity of knowledge and wide-reaching legal backgrounds with a dedication to teamwork, collaboration and superior client service. Repeating its performance in the inaugural 2010 survey, Sidley received the most first-tier national rankings of any U.S. law firm in the 2011/12 U.S.News – Best Lawyers “Best Law Firms” survey.

Media Partner:, a premium service provided by LLC, started in 2009, ranks law firms through research and evaluation to identify the most respectable and dedicated law teams in the United States. Our goal is to provide our users with a new way to locate and contact an attorney or a law firm while providing firms a way to get their image out and into the open. We advertise and provide access to the best law firms around the country and in specific areas and also list a directory showing many opportunities for a client to get in touch with legal help.


The Knowledge Group, LLC is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Website:


We are an approved multi-event sponsor in the state of California. Our provider ID is: 14451. In Texas, Illinois, and Virginia, we submit programs for individual approval in advance. In all other states, once attendance is verified, participants are emailed an official certificate of attendance which they submit to their respective State Bar Associations. Our programs are created with continuing education in mind and are therefore designed to meet the requirements of all State Bar Associations. If you have any questions, please email our CLE coordinator at:

Attention New York Attorneys:

This program is approved for CLE credit under New York’s Approved Jurisdiction policy. The Knowledge Group, LLC is an approved sponsor in the state of California, a New York Approved Jurisdiction. This program fulfills the non-traditional format requirement of exceeding 60 minutes in length. Please note only experienced attorneys (more than 2 years) are eligible to receive CLE credit via non-traditional format learning platforms. The Knowledge Group will verify attendance during the webcast via secret words (3 per credit hour) and by auditing attendees log in and log out records. All verification instructions will be provided during the webcast. Once attendance verification requirements have been completed, the attendee will be issued a certificate of attendance be The Knowledge Group for the course with the recommended number of credit hours. The Certificate of Attendance is normally sent via email in 24 hours or less.

To Claim Your CLE Credits:

The attorney should simply include credits earned via Knowledge Group webcasts when computing the total number of CLE credits completed, and keep the Knowledge Group Certificate of Attendance for a period of at least four (4) years in case of audit. An attorney may count towards her/his New York CLE requirement credit earned through the Approved Jurisdiction policy without notifying the CLE Board.

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Enrolled Agents Sponsor ID Number: 7602U

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