The Resource Securities investigations : internal, civil, and criminal, Mayer Brown LLP ; Steven Wolowitz, editor, John J. Tharp, Jr., editor, Lee H. Rubin, editor

Securities investigations : internal, civil, and criminal, Mayer Brown LLP ; Steven Wolowitz, editor, John J. Tharp, Jr., editor, Lee H. Rubin, editor

Label
Securities investigations : internal, civil, and criminal
Title
Securities investigations
Title remainder
internal, civil, and criminal
Statement of responsibility
Mayer Brown LLP ; Steven Wolowitz, editor, John J. Tharp, Jr., editor, Lee H. Rubin, editor
Contributor
Subject
Genre
Language
eng
Member of
Continues
Cataloging source
NLL
Characteristic
updating web site
Entry convention
integrated entry
Frequency
unknown
LC call number
KF1440
LC item number
.S45372 (INTERNET)
Nature of contents
dictionaries
Regularity
unknown
http://library.link/vocab/relatedWorkOrContributorName
  • Wolowitz, Steven
  • Tharp, John J.
  • Rubin, Lee H
  • Mayer Brown LLP
  • Practising Law Institute
Series statement
PLI's corporate and securities law library
http://library.link/vocab/subjectName
  • Securities
  • Governmental investigations
  • Securities fraud
  • United States
Label
Securities investigations : internal, civil, and criminal, Mayer Brown LLP ; Steven Wolowitz, editor, John J. Tharp, Jr., editor, Lee H. Rubin, editor
Instantiates
Publication
Note
"#29910."
Bibliography note
Includes bibliographical references and index
Color
multicolored
Contents
Ch.1. Overview of federal, state and SRO securities enforcement efforts: strategies for responding to multiple investigations and related actions -Ch. 2 Civil enforcement of federal securities laws - substantive violations -- Ch. 3. Criminal statutes charged in securities cases -- Ch. 4. Organizational sentencing guidelines -- Ch. 5. The role of corporate investigations -- Ch. 6. Conducting internal investigations -- Ch. 7. Attorney-client and work product considerations in internal investigations -- Ch. 8. Defending grand jury investigations -- Ch. 9. Defending an SEC investigation -- Ch. 10. Cooperation in SEC and DOJ cases -- Ch. 11. The SEC's Office of Compliance Inspections and Examinations -- Ch. 12. FINRA investigations -- Ch. 13. Cross-border regulation of the financial markets -- Ch. 14. The Foreign Corrupt Practices Act: enforcement by the SEC -- Ch. 15. Dealing with parallel actions -- Ch. 16. Representing individuals in securities investigations -- Ch. 17. Communicating with the company's auditor in a securities investigation -- Ch. 18. Employment issues in securities investigations
Dimensions
unknown
Edition
2nd ed
Extent
1 online resource
Form of item
online
Specific material designation
remote
System control number
(OCoLC)818786186
Label
Securities investigations : internal, civil, and criminal, Mayer Brown LLP ; Steven Wolowitz, editor, John J. Tharp, Jr., editor, Lee H. Rubin, editor
Publication
Note
"#29910."
Bibliography note
Includes bibliographical references and index
Color
multicolored
Contents
Ch.1. Overview of federal, state and SRO securities enforcement efforts: strategies for responding to multiple investigations and related actions -Ch. 2 Civil enforcement of federal securities laws - substantive violations -- Ch. 3. Criminal statutes charged in securities cases -- Ch. 4. Organizational sentencing guidelines -- Ch. 5. The role of corporate investigations -- Ch. 6. Conducting internal investigations -- Ch. 7. Attorney-client and work product considerations in internal investigations -- Ch. 8. Defending grand jury investigations -- Ch. 9. Defending an SEC investigation -- Ch. 10. Cooperation in SEC and DOJ cases -- Ch. 11. The SEC's Office of Compliance Inspections and Examinations -- Ch. 12. FINRA investigations -- Ch. 13. Cross-border regulation of the financial markets -- Ch. 14. The Foreign Corrupt Practices Act: enforcement by the SEC -- Ch. 15. Dealing with parallel actions -- Ch. 16. Representing individuals in securities investigations -- Ch. 17. Communicating with the company's auditor in a securities investigation -- Ch. 18. Employment issues in securities investigations
Dimensions
unknown
Edition
2nd ed
Extent
1 online resource
Form of item
online
Specific material designation
remote
System control number
(OCoLC)818786186

Library Locations

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