News & Events

Guest Post: The Nuts & Bolts of SEC Investigations & Enforcement

January 17, 2017
Ted Carleton and Tammy Yuen, with John Sikora of the Latham & Watkins law firm, published their guest post on The D&O Diary. The article provides a basic outline of the SEC’s investigative and enforcement processes, reviews some recurring D&O insurance coverage issues arising from SEC investigations and enforcement actions, highlights some of the current issues at the agency, and takes a look ahead at what the change in administration may mean. Click here to read the article.