The Ins and Outs of the SEC Enforcement Program and Its Arsenal against Hedge Funds

Events / Thursday, Nov. 17, 2016

New York Yacht Club
37 West 44th Street
New York, NY 10036

This content rich program highlighted some of the concerns and priorities of the SEC’s enforcement program, including areas of focus when the SEC brings cases in the SEC’s home court of administrative proceedings. The panel discussed ways on how to effectively handle an SEC investigation and examination and the expanding whistleblower program. They also provided a general overview of the “pay-to-play” rule’s impact upon hedge funds.

  • Marc D. Powers, National Leader, Hedge Fund Industry and Securities Litigation Practices, BakerHostetler
  • Mark Kornfeld, Partner, Securities Litigation Practice, BakerHostetler
  • Walter Van Dorn, National Leader, International Securities and Capital Markets, BakerHostetler
  • Michelle Chopper, Director, Advisory & Consulting, Arthur Bell
Program topics included:
  • Effectively handling SEC Investigations and examinations;
  • SEC exam priorities and expectations;
  • The home court advantage in SEC administrative proceedings;
  • The expanding whistleblower program; and
  • The pay-to-play rule implications for fund managers.

Following the program, the firm hosted a cocktail reception where attendees were able to network and engage in further discussion of the topics presented.