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Regulatory Investigations Reduce the Costs, Minimize the Risks Sponsored By: Regulatory Investigations Reduce the Costs, Minimize the Risks Visit www.advisenltd.com at the end of this webinar to download: Copy of these slides

  1. Regulatory Investigations – Reduce the Costs, Minimize the Risks Sponsored By:

  2. Regulatory Investigations – Reduce the Costs, Minimize the Risks Visit www.advisenltd.com at the end of this webinar to download: – Copy of these slides – Recording of today’s webinar

  3. Many Thanks to our Sponsor!

  4. About Advisen Advisen delivers: the right information into the right hands at the right time to power performance. www.advisenltd.com

  5. Today’s Moderator Josh Bradford Senior Editor, Specialty Editorial Advisen

  6. Today’s Panelists Bill Clarke Carolyn Polikoff Rachel Turk Jason Masimore Claims Manager, SVP, Corporate & Executive Focus Group Leader – D&O, Lawyer, Beazley Protection Practice Leader, Beazley Kobre and Kim Woodruff Sawyer & Company

  7. Overview of SEC investigatory functions Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  8. What are the SEC’s current areas of focus and how has this changed over time? Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  9. How would a Clinton presidency impact SEC enforcement? Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  10. Let’s talk about parallel investigations… Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  11. What is the process of a typical SEC investigation? Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  12. What are the obligations of the investigated company? Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  13. How should a request for sworn witness testimony be handled? Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  14. How do D&O policies cover the costs? Josh Bradford Advisen Rachel Turk Bill Clarke Carolyn Polikoff Jason Masimore Beazley Beazley Woodruff Sawyer & Company Kobre and Kim

  15. Thank you to today’s panelists! Bill Clarke Jason Masimore Carolyn Polikoff Rachel Turk Claims Manager, Lawyer, SVP, Corporate & Executive Focus Group Leader – D&O, Beazley Protection Practice Leader, Kobre and Kim Beazley Woodruff Sawyer & Company

  16. Regulatory Investigations – Reduce the Costs, Minimize the Risks Visit www.advisenltd.com at the end of this webinar to download: – Copy of these slides – Recording of today’s webinar

  17. Register now! IDENTIFY PROTECT RESPOND RECOVER Visit http://www.advisenltd.com/events/ for the conference & webinar schedule!

  18. Register for our next D&O webinar! On October 13 th , our panel of experts will discuss the frequency and severity of IDENTIFY securities suits in Q3 2016 and share their insights on emerging trends on securities PROTECT litigation. Sponsored by: RESPOND RECOVER Visit www.advisenltd.com/events to register!

  19. Contact Us Advisen Ltd. 1430 Broadway 8 th Floor New York, NY 10018 www.advisenltd.com Phone +1.212.897.4800 advisenevents@advisen.com

  20. Leading the way to smarter and more efficient risk and insurance communities. Advisen delivers: the right information into the right hands at the right time to power performance . About Advisen Ltd. Advisen is the leading provider of data, media, and technology solutions for the commercial property and casualty insurance market. Advisen's proprietary data sets and applications focus on large, specialty risks. Through Web Connectivity Ltd., Advisen provides messaging services, business consulting, and technical solutions to streamline and automate insurance transactions. Advisen connects a community of more than 200,000 professionals through daily newsletters, conferences, and webinars. The company was founded in 2000 and is headquartered in New York City, with offices in the US and the UK. +1 (212) 897-4800 | info@advisen.com | www.advisenltd.com

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