vc_enabled:-----2016 Webinars

Regulatory Investigations – Reduce the Costs, Minimize the Risks

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Download PDF: Webinar Slides

The Securities and Exchange Commission’s (SEC) Enforcement Division is placing a greater focus on investigations and is growing its resources to reinforce its investigative functions. As a result, companies are increasingly confronted with the risk of prolonged regulatory scrutiny and the costs associated with responding to a formal or informal investigation.

On September 13, Advisen hosted a webinar on the current regulatory environment.

Beazley’s Bill Clarke & Rachel Turk, Kobre & Kim’s Jason Masimore, Woodruff Sawyer & Company’s Carolyn Polikoff, and Advisen’s Josh Bradford provided an overview of the investigative process, and discuss best practices for handling a regulatory investigation.

This free, one-hour webinar is sponsored by Beazley.

Confirmed Speakers

The following panelists participated in the webinar:

  • Bill Clarke, Claims Manager, Beazley
  • Rachel Turk, Focus Group Leader – D&O, Beazley
  • Jason Masimore, Lawyer, Kobre & Kim
  • Carolyn Polikoff, SVP, Corporate & Executive Protection Practice Leader, Woodruff Sawyer & Company
  • Josh Bradford, Senior Editor – Specialty Editorial, Advisen (Moderator)

Webinar Topics

The following topics were discussed:

  • The increasingly stringent regulatory environment (number of investigations opened, percent increase, biggest cases)
  • Risks faced by firms (reputational risk, financial risk, etc.)
  • Costs incurred in response to related informal and formal investigations
  • Ways by which firms can reduce these costs
  • Best practices on minimizing risks