Overview

Handling a regulatory investigation? Join your peers and hear from in house and outside counsel perspectives during SIFMA’s latest Webinar, hosted by the SIFMA C&L Society, on Wednesday, May 27th from 1:00 – 2:30PM EDT. We’ll explore:

  • Best practices in responding to subpoenas and in conducting
    internal reviews
  • Cooperation and preservation of attorney-client privilege and
    work-product protection
  • Considerations and challenges in representing company and employees
  • Parallel investigations and interagency coordination
  • Effective wells submissions and related advocacy

Featured Speakers

SIFMA Webinar Series

Handling a Regulatory Investigation- In House and Outside Counsel Perspective

Date

May 27, 2020

Location

Virtual

Hosted by

SIFMA C&L Society

Overview

Handling a regulatory investigation? Join your peers and hear from in house and outside counsel perspectives during SIFMA’s latest Webinar, hosted by the SIFMA C&L Society, on Wednesday, May 27th from 1:00 – 2:30PM EDT. We’ll explore:

  • Best practices in responding to subpoenas and in conducting
    internal reviews
  • Cooperation and preservation of attorney-client privilege and
    work-product protection
  • Considerations and challenges in representing company and employees
  • Parallel investigations and interagency coordination
  • Effective wells submissions and related advocacy

Featured Speakers

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Accreditation

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York.

Webinar attendees will be eligible for 1.5 CLE Credit hours. When registering for the webinar, please select the box for CLE Credit. All attendees who registered to receive CLE Credit will be sent an affirmation form from [email protected]. Attendance must be certified by each registrant seeking credits by completing the affirmation form immediately following the webinar using our CLE code word and emailing the form back to [email protected].  The moderator of the webinar will announce the CLE code word periodically throughout the webinar. CLE Credit cannot be certified after the webinar adjourns. Participants will receive CLE Certificates for New York State within 30 days of the webinar. Participants should self-file for CLE credit in other states.

View SIFMA’s Hardship Policy (pdf)

Webinar Tips and FAQs

For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access this webinar. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

 

Terms and Conditions

Code of Conduct

SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Cancellations and Substitutions

Cancellation within 48 hours of the webinar will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.