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Representing Parties in Multi-agency Enforcement Investigations

part of the FIA Law & Compliance Division webinar series
15 November 2018 10:00am to 11:00am EST

During this one-hour webinar, a panel of WilmerHale attorneys will discuss key issues that may arise when multiple regulators investigate a matter simultaneously. These regulators may include the CFTC, SEC, Department of Justice, NY Attorney General’s Office, FINRA, futures SROs, the UK FCA, and others. The subjects of such investigations may include CFTC or SEC registrants or even market participants. This webinar will explore how a multi-agency investigation differs from an investigation conducted by a single agency, how best to respond to a multi-agency investigation and the possible pitfalls that may arise.

Presenters:  Paul Architzel, Jonathan Pressman, Daniel Schubert, and Petal Walker of WilmerHale

 

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