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Conducting Enforcement Investigations before Government Agencies: Video Seminar with Geoffrey Aronow of Heller Ehrman LLP
ExecSense, Jan 2008, Minutes: 45
The goal of this Video Seminar is to provide lawyers and executives with essential information about conducting enforcement investigations before government agencies. The DVD is viewable on any computer or iPod (that supports video) and features 45 minutes of live video with Geoffrey Aronow of Heller Ehrman LLP, sharing his knowledge with and experience of enforcement investigations situations. The video seminar provides specific resources such as the most important issues, considerations, and challenges surrounding enforcement investigations and also shares his experiences in dealing with conducting investigations before government agencies.
Topics covered in the Video Seminar include:
- The areas investigations are focused around
- Steps to be taken once an investigation is under way
- Best practices for the attorney
- How to best protect the firm and the individuals involved
- Case Study - Enforcement Investigation
Samples of the types of questions answered in the video seminar include:
- What are government agencies investigating? Why? How?
- What must companies understand about enforcement investigations? How can the lawyer best inform the executives and managers?
- What are the primary duties of an attorney, when conducting enforcement investigations?
- What documents, records, and data are included in the enforcement investigation? What can companies and attorneys do, to prepare for these documents?
- What financial and operational analysis is included in the investigation? How is the analysis prepared?
- Which contracts, agreements, and pending agreements are most commonly linked to the enforcement proceedings?
- What are the consequences of violating each agency rule? Who is liable for the non-compliance?
- What best practices do you recommend to minimize risk and exposure when conducting enforcement investigations before government agencies? What are the risks?
About Geoffrey Aronow:
Mr. Aronow has served as counsel in a wide variety of enforcement investigations and proceedings before the SEC, CFTC and other financial regulatory agencies and is also is an experienced civil litigator in complex securities class action cases. Prior to joining Heller Ehrman, he was a partner with one of the largest law firms in Washington, D.C. Throughout his career, Mr. Aronow has worked on matters in both the administrative and judicial arenas ranging from financial fraud to insider trading and professional misconduct, representing auditors, accounting firms, company officials, and corporations. He has also been appointed as the 'independent consultant' in connection with the implementation of an SEC/NASD settlement. Mr. Aronow served as Director of Enforcement at the CFTC from 1995 to 1999. During that time, he directed the agencys enforcement program and coordinated its activities with the enforcement programs at the SEC, other regulators, and various U.S. Attorney offices throughout the country. Mr. Aronow recently completed a three-year term as a member of the National Adjudicatory Council of the NASD, which hears all appeals of enforcement and other disciplinary cases at the NASD and which reviews proposed changes in enforcement-related rules and procedures, and he will continue to be called upon to sit on hearing panels for appeals of NASD enforcement and disciplinary cases.
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