Labaton Sucharow Partner Jordan A. Thomas presented in a six-part series hosted by West LegalEdcenter, part of Thomson Reuters.
The Securities and Exchange Commission has a rich heritage and unique culture.Knowledge is power. The more that potential whistleblowers and other interested parties know about it, the better. In this presentation, Jordan A. Thomas, a former award-winning Assistant Director and Assistant Chief Litigation Counsel in the Enforcement Division of the SEC, used his deep knowledge of the national enforcement program and experience supervising, investigating and prosecuting high-profile cases to educate the public regarding this important institution and its enforcement policies, procedures and practices.
- Introduction to the mission and organization of the SEC
- Overview of the Division of Enforcement
- Sources of investigations
- The investigative process
- International investigations
- Parallel investigations with other state and federal financial regulators and law enforcement authorities
- Key enforcement policies, procedures and practices