Celesq® Upcoming Webcasts

Date Published: 09/25/2013

Financial Fraud: Avoiding the Path of the New SEC Investigative Priority

 Financial fraud has long been an enforcement priority for the SEC, yet in recent years the number of cases has steadily declined as the Enforcement Division focused on insider trading and Ponzi schemes. Since new SEC Chair Mary Jo White took over, the Commission has indicated that it is preparing to address this critical area and is bolstering its investigative tools by creating new search programs to analyze filings made with it. This is apparently the first step in adding to the SEC’s tools in this area. In this program especially for in-house and outside corporate, securities and white collar attorneys, Tom Gorman helps you prepare your company or clients to avoid being caught up in this new SEC trend. Topics include analysis of historic SEC trends in this area, and the approach being used to develop the new tools and plot future directions that the Enforcement Division is likely to take, thus providing critical guidance in this area that can be used to counsel issuers and their directors and officers to ensure they are prepared.

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