Thursday, May 04, 2017

Securities experts explore 2017 SEC enforcement trends at Garrett Institute

By Lene Powell, J.D.

Despite uncertainty resulting from the change in administration, experienced insiders can make educated guesses as to the direction of SEC enforcement in the new environment. A panel of experts at the 37th Annual Ray Garrett Jr. Corporate & Securities Law Institute offered advice for counsel in various enforcement areas including financial reporting violations, whistleblowers, surveillance tools, and communicating with the SEC during investigations.

The panel, "Perspectives on SEC Enforcement in 2017," was held at the Northwestern University Pritzker School of Law and was moderated by Peter K.M. Chan, a partner at Morgan Lewis and former head of the Municipal Securities and Public Pensions Unit in the SEC’s Chicago office. Other panelists included Susan Goetz Markel, a managing director at AlixPartners and former chief accountant for the Enforcement Division, and Tom Szromba, principal senior counsel at The Boeing Company.

To view the full paper, please click here.

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