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SCCE Corporate Compliance Enforcement Conference

SEC Enforcement Update: Hot Topics and Compliance Lessons

11:30 AM CT – 12:30 PM CT

Learning Objectives:


  • Hear how to effectively work with the SEC in the course of its investigations 
  • Learn what the SEC’s enforcement priorities are 
  • Lessons for compliance programs, including in dealing with whistleblowers


Pilar Caballero

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Sandra Hanna

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Maria Lapetina

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We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.