NYCLA: How to Handle a Securities Regulatory Investigation

June 14, 2023

Legal Ethics & Professional Responsibility Chair Ronald C. Minkoff is a speaker during the webinar, “How to Handle a Securities Regulatory Investigation,” hosted by the New York County Lawyers Association. The presenters discuss:

 

  -the various stages of a securities regulatory investigation

  -the initial contact

  -demand for documents

  -gathering and distilling data

  -on the record interviews (OTRs)

  -how to avoid full-blown enforcement actions

  -how to protect your client’s public CRD, and

  -ethical considerations to avoid conflicts of interest and rule violations

 

Details here.