Securities Investigations: Internal Civil and Criminal 2nd Aug. 2014

Wolowitz, Steven; R.M. Rosenfeld; Lee H. Rubin

Publication Date: 2014
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Securities Investigations: Internal Civil and Criminal, Second Edition. Steven Wolowitz, Richard M. Rosenfeld, Lee H. Rubin, Mayer Brown LLP. Practising Law Institute. 1 Volume. Looseleaf format. Current through Release 4/August 2014. Ex-private law firm library with location label at foot of spine, and small bar code label on front cover, else very good. Publisher's Price USD 395. Special $75. * "[Securities Investigations] collects the experience of many of the most experienced lawyers in securities law enforcement. This book belongs on the desk of every practitioner whose clients have a stake in securities investigations, whether civil or criminal." -Peter J. Romatowski, Partner, Jones Day; former Chief of Securities and Commodity Frauds Unit, U.S. Attorneys' Office, Southern District of New York. Provides the legal knowledge and practical strategies you need to deal effectively with the issues and pressures of government investigations and to meet the challenge of conducting your own internal investigations. The treatise helps you to conduct useful internal investigations, cooperate with the SEC and DOJ during investigations in ways that protect clients' interests, implement effective compliance measures, design compliance programs that avoid common compliance deficiencies and help stave off lengthy SEC examinations, support your clients during their investigation testimony, and effectively handle a grand jury investigation. Provides actionable coverage, beginning with an overview of enforcement efforts and response strategies, followed by discussions of relevant substantive legal provisions, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act of 2002; an examination of internal investigations, including SEC, DOJ, and FINRA Guidance, and issues under the attorneyclient privilege and the work-product doctrine; a detailed review of the types of securities investigations, including SEC and FINRA investigations, and issues under cross-border regulation and the Foreign Corrupt Practices Act; and an in-depth examination of the various issues applicable to all types of securities investigations, including whistleblower protection under the Dodd-Frank Wall Street Reform and Consumer Protection Act and privacy considerations. Bookseller Inventory #

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Title: Securities Investigations: Internal Civil ...
Publication Date: 2014

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