Tips For Navigating The SEC Wells Process

Law360 (June 13, 2018, 12:55 PM EDT) -- During his recent keynote address at the New York City Bar Association’s 7th Annual White Collar Crime Institute, U.S. Securities and Exchange Commission Enforcement Co-Director Steven Peikin imparted a few suggested “do’s and don’ts” for effective communication with the SEC during the Wells process — typically the last opportunity to address potential charges prior to the authorization of an SEC enforcement proceeding. The co-director’s observations are summarized below:

1. Focus on the key issues.

Do: Limit the focus to the important elements of the case, and adapt if the staff appears interested in a different area.

Don’t: Take a “blunderbuss” approach...

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