Thompson Hine is pleased to share with you the latest episode of Market Matters, our podcast series that explores legal and regulatory issues affecting the investment management industry.
In this episode, Mike Wible, a partner in our Investment Management practice, and David Wilson, a partner in our Securities & Shareholder Litigation practice, discuss recent areas of focus for the SEC’s Enforcement Division. Their topics include:
- Takeaways from the April 2019 SEC Speaks conference
- Top 10 things to do – or not do – if you receive an informal inquiry request or a subpoena from Enforcement or another SEC division
Click here to listen to the video.