Understanding securities enforcement

What are the principal violations or legal issues that the securities or related law enforcement authorities investigate?  How do these authorities typically begin an investigation? Do illegal profits have to be disgorged?  What are some of the collateral consequences of a resolution or settlement?  The latest edition of Global Investigation Review's GIR Know How: Securities & Related Investigations (Law Business Research: 2021) comprehensively addresses the basics that matter in the course of a securities investigation in key jurisdictions around the world.

The guide identifies the key securities law enforcement authorities; examines how investigations begin and proceed; looks at such aspects of an investigation as document production, timing, and advocacy; then discusses potential resolutions and their collateral consequences. The 2021 edition of the guide is now available. 

We are pleased to announce that the guide features a USA chapter authored by DLA Piper’s Deborah R. Meshulam, Katrina A. Hausfeld, Noah Schottenstein, and Elan A. Gershoni.

Please download the chapter below.

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GIR Know How: Securities & Related Investigations – USA chapter