Speaking Engagement - 14th Annual Institutional Investor/MARHedge Global Hedge Fund Summit

Morgan Lewis partner Ivan Harris will speak on "Governance, Risk and Compliance Track: SEC Enforcement Actions."

This session will provide an overview of the SEC Division of Enforcement and the types of cases usually subject to investigation. The characteristics of informal and formal investigations will be provided and discussed and extensive consideration will be given to the steps a firm must consider when responding to an SEC investigation—including in-depth coverage of the Wells process. There will also be discussion regarding the process of gaining approval for enforcement actions and federal court actions, including injunctive relief, civil fines, and disgorgement. SEC administrative proceedings will also be covered, including administrative remedies, appeals to the Commission, and judicial reviews.

When:
Tuesday, October 30
11:30 a.m.

Where:
The Fairmont Southampton, Bermuda

For more information, please visit the conference site.