ARTICLE
29 October 2013

SEC Enforcement Developments: Renewed Focus On Lawyers

W
WilmerHale

Contributor

WilmerHale provides legal representation across a comprehensive range of practice areas critical to the success of its clients. With a staunch commitment to public service, the firm is a leader in pro bono representation. WilmerHale is 1,000 lawyers strong with 12 offices in the United States, Europe and Asia.
The Securities and Exchange Commission Enforcement Division staff has a long history of scrutinizing lawyers’ conduct during its investigations.
United States Corporate/Commercial Law

The Securities and Exchange Commission Enforcement Division staff has a long history of scrutinizing lawyers' conduct during its investigations. This scrutiny has tended to be cyclical—from the ''access theory'' that the staff favored during the 1970s, to emphasizing a lawyer's role as gatekeeper following the 2002 Sarbanes-Oxley Act. There are times when the SEC's vigor in investigating the role of professionals in its inquiries poses a serious potential risk for the lawyers who practice before the agency.

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Reproduced with permission from Securities Regulation & Law Report, 45 SRLR 1987, 10/28/2013. Copyright 2013 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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