How to Succeed When the SEC Comes Calling–Navigating SEC Examinations & Related Enforcement Actions
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 Export to Your Calendar 10/2/2019
When: Wednesday, October 2, 2019
5:00 PM
Where: Winston & Strawn LLP
101 California Street
San Francisco, California  94111
United States
Contact: Stephanie Menetrier
(212) 294-3552

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How to Succeed When the SEC Comes Calling – Navigating SEC Examinations and Related Enforcement Actions


Winston & Strawn Partner Michael Wu and the Promontory Financial Group cordially invite you to an interactive panel discussion. This program will focus on the following topics:

 

  • The Exam Program; What is the SEC Looking for Now?
  • How to Prepare for and Successfully Survive an SEC Examination
  • Responding to SEC Deficiency Letters; When to Push Back
  • Referral to Enforcement; Now What?

One New York transitional/non-transitional CLE credit will be available to program participants.

 

REGISTER HERE

 

Wednesday, October 2, 2019

 

Registration

5:00 – 5:30 p.m.

 

Panel Discussion

5:30 – 6:30 p.m.

 

Cocktail Reception & Networking

6:30 – 7:30 p.m.

 

Location

Winston & Strawn LLP

101 California Street

San Francisco, CA

94111

 

CLE
Winston & Strawn LLP is an accredited CLE provider in California, Illinois, New York, and Texas.

 

 

Host
Michael Wu
Partner – Winston & Strawn LLP



Speakers
Asher Ailey
General Counsel and Chief Compliance Officer – Research Affiliates LLC

Sarah Curran
Director – Promontory Financial Group

Jane Jarcho
Senior Adviser, Asset Management – Promontory Financial Group

Michael Loesch
Partner – Winston & Strawn LLP

Jay Gould
Partner – Winston & Strawn LLP

 

REGISTER HERE

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