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The SEC Enforcement Division's Renewed Interest in Structured Products

20 June 2014
Presenters: Anthony R.G. Nolan

The U.S. Securities and Exchange Commission (SEC) and, more specifically, the Enforcement Division’s Complex Financial Instruments Unit have signaled a renewed interest in investigating possible violations of U.S. securities laws in the structured products market.

This panel discussion explores what this renewed focus means and how to respond to any potential issues or requests. The agenda includes:

  • The SEC’s Complex Financial Instruments Unit (CFIU) and Its Renewed Interest in Structured Products
    • Discussion of creation of Structured and New Products Unit and its activity, rebranding and new shift in focus to CFIU
  • SEC Enforcement Cases Relating to Structured Products
    • Examination of cases and theories generally pursued in Structured Product cases and likely theories SEC will pursue in future cases
  • Dealing with Requests from CFIU for Voluntary Interviews
    • Nature of Voluntary Interviews: The pros and cons and tips for dealing with them
  • Dealing with SEC Subpoenas
    • Tips for dealing with SEC Subpoenas