Presentation: The SEC Enforcement Process

Part 4 of a 6-part series entitled “Whistleblowing in the Corporate World Series”
This is a six-part presentation series hosted by West Legal Edcenter, part of Thomson Reuters.
Presenter: Jordan A. Thomas

In this presentation, Jordan A. Thomas, a former Assistant Director in the Enforcement Division of the SEC, calls upon his 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. Read more about the enforcement and investigations process in our SEC Insider’s Guide.

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What You Will Hear:

• 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