transcript   Transcript

Internal Investigations: Regulators Roundtable

Recorded on: Jun. 27, 2018
Running Time: 01:15:28

Full Transcript:

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Taken from the Web Program Internal Investigations 2018 Recorded June 2018 in New York

Internal Investigations: Regulators Roundtable [01:15:28]
  • The regulators’ perspectives on internal investigations
  • Disclosing the investigation to regulators: why, when and how
  • Regulators’ perspectives on how companies navigate whistleblower issues. Has Dodd-Frank changed how regulators are handling these issues and what they expect from companies?
  • Maintaining a dialogue with the regulators during the investigation
  • What will the regulators want to know?
  • Challenges posed by international investigations
  • Cooperation with the government - Waiver issues
    - Public disclosure of results

Nancy Kestenbaum (Panel Leader); Marc P. Berger, Joan Loughnane, F. Joseph Warin

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Paul M.G. Helms and Kristin E. Michaels, SEC Whistleblower Update (March 6, 2018)
    Steven S. Scholes
  • SEC v. Mathias Francisco Sandoval Herrera, et al., Case No. 17-20301-CIV, 2017 WL 6041750 (December 5, 2017)
    Nancy Kestenbaum
  • John F. Savarese and Carol Miller, PLI Internal Investigations 2018
    John F. Savarese
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Nancy Kestenbaum ~ Covington & Burling LLP
Joan Loughnane ~ Chief Counsel to the U.S. Attorney, United States Attorney's Office, Southern District of New York
F. Joseph Warin ~ Gibson, Dunn & Crutcher LLP
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