The Securities Enforcement and Litigation Trends and Developments in 2016

In 2016, the Securities and Exchange Commission (SEC) continued an aggressive civil enforcement action to maintain a fair, orderly and efficient market. Earlier this year, the SEC has entered into a $52.7 million settlement with Apollo Global Management LLC to resolve charges when its four private equity fund advisers misled investors about fees and loan agreement. These recent activities suggest that SEC has a long-term intent to focus on financial reporting and disclosure cases.

As the federal government's principal investigative agency, and given the events of the past decade including the Madoff fraud and investment scandal, the SEC is expected to be more aggressive and proactive in 2017. Whether the SEC enforce an informal inquiry or a formal investigation, it has to be taken seriously. The manner of every corporation’s initial response is just as important as mitigating potential pitfalls of noncompliance and hefty fines.

In this light, a panel of distinguished professionals and thought leaders assembled by The Knowledge Group outlined the recent Enforcement and Litigation Trends and Developments in 2016 and took a sneak peek to what lies ahead in 2017 and the actions that companies and management can take to minimize the potential risks and common pitfalls and how to confront them head on.

Key topics:

  • Developments and Trends in Securities Litigation
  • Securities Filing and Settlement Trends in 2016
  • Recent Significant Securities Case Decisions
  • Recent SEC Enforcement Actions
  • Discussion on Significant Issues for Financial Statement Disclosures
  • Results of Recent Litigations and Current Issues Arising from SEC Administrative Proceedings
  • Recent SEC Enforcement Efforts with Case Citations
  • Key Techniques to Identify Fraudulent Schemes
  • Best Practices in Developing an Effective Compliance Program

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