Demystifying the SEC and CFPB Enforcement Processes Webinar

This webinar is designed for legal, financial and compliance professionals who seek a basic understanding of the enforcement processes at the Securities and Exchange Commission and the Consumer Financial Protection Bureau.

Wednesday, July 31, 2013

Partners Scott Kimpel, an SEC alumnus, and Ron Rubin, a dual SEC-CFPB alumnus, compare and contrast the enforcement programs at the two agencies, covering topics such as:

  • How are the enforcement units at the two agencies organized and managed?
  • What are the current enforcement priorities?
  • Who decides to open an investigation, and what is the basis for that decision?
  • What are some strategies to avoid becoming the subject of an investigation?
  • How does a typical investigation unfold?
  • What do I do if my company gets a subpoena (SEC), Civil Investigative Demand (CFPB), or other request to produce documents?
  • What are some strategies for petitioning the Director (CFPB)?
  • My company just uncovered a potential violation of law; should we self-report?
  • How do the Wells process (SEC) and the NORA process (CFPB) compare?
  • What are some strategies for settlement negotiations?
  • What does it mean to settle on a "neither admit nor deny" basis?

Questions? Please contact Cherie Heintz at 804.787.8063.