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Market Matters: SEC Enforcement: Updates & Response Strategies - June 2019
In this episode, Mike Wible, a partner in our Investment Management practice, and David Wilson, a partner in our Securities & Shareholder Litigation practice, discuss recent areas of focus for the SEC’s Enforcement Division.
Their topics include:
• Takeaways from the April 2019 SEC Speaks conference
• Top 10 things to do – or not do – if you receive an informal inquiry request or a subpoena from Enforcement or another SEC division
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By Thompson Hine
5
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In this episode, Mike Wible, a partner in our Investment Management practice, and David Wilson, a partner in our Securities & Shareholder Litigation practice, discuss recent areas of focus for the SEC’s Enforcement Division.
Their topics include:
• Takeaways from the April 2019 SEC Speaks conference
• Top 10 things to do – or not do – if you receive an informal inquiry request or a subpoena from Enforcement or another SEC division