NSCP Member Call: SEC Expectations for the Preservation of Electronic Communications

Join us on Monday, January 9, 2023 – 2:00 pm ET / 11:00 am PT

The panel features 2 former Heads of The SEC Asset Management Unit of the Division of Enforcement and 2 former Heads of the SEC Division of Examinations.

Panelists will discuss one of the hottest topics in the industry - the current status of SEC off-channel communications investigations and examinations.

Learn from the experts the difference between BD’s and IAs regarding books and records, best practices in this area, emerging trends and how to manage an investigation or examination in this space.

Panelists:

1. Adam Aderton, Partner, Willkie Farr & Gallagher LLP

2. Peter Driscoll, Partner, PwC

3. Daniel Kahl, Partner, Kirkland & Ellis LLP

4. Dabney O’Riordan, Partner, Quinn, Emanuel, Urquhart & Sullivan, LLP

If there are specific questions or issues you wish to have guidance on, please post on NSCP’s MemberVoice portal.

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This event is intended for NSCP Members only and may not be shared with or accessed by non-members including Press and Regulators.