Sec enforcement - PowerPoint PPT Presentation

SEC ENFORCEMENT TRENDS 2011

SEC ENFORCEMENT TRENDS 2011. Thomas O. Gorman Dorsey &amp; Whitney LLP Washington, D.C. www.secactions.com. INDEX. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 4 Market reform . . . . . . . . . . . . . . . . . . . . . . .. 6

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Is Anti-Bribery Legislation Keeping You Up At Night?

Is Anti-Bribery Legislation Keeping You Up At Night?. May 10, 2012 Carl Valenstein, Rebecca Hartley, Bingham McCutchen LLP Claudia Gilman, International Legal Consultant Karen Higgins Valentine, Agenus Inc. Speaker Introductions.

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698 views • 47 slides

Survey of 2009 SEC Enforcement Cases Involving Broker-Dealers and Investment Advisers Presenters: Michele Layne, Associa

Survey of 2009 SEC Enforcement Cases Involving Broker-Dealers and Investment Advisers Presenters: Michele Layne, Associate Regional Director (Los Angeles) U.S. Securities and Exchange Commission Steven Hansen, Partner Bingham McCutchen LLP Boston, MA

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275 views • 15 slides

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