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




Wednesday, October 2, 2019



5:00 – 5:30 p.m.


Panel Discussion

5:30 – 6:30 p.m.


Cocktail Reception & Networking

6:30 – 7:30 p.m.



Winston & Strawn LLP

101 California Street

San Francisco, CA



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



Michael Wu
Partner – Winston & Strawn LLP

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



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