What Every China-Based U.S.-Listed Company Needs to Know About U.S. SEC Enforcement Actions

Practices: Corporate & Shareholder Litigation, Government Enforcement / White Collar Crime, Capital Markets, Securities & Futures Enforcement

With the significant increase in U.S. SEC government enforcement actions against China-based U.S.-listed companies, now, more than ever, management, directors and PE investors in China need to understand how SEC investigations and enforcement actions work and how to respond to the SEC if you or your company become one of its targets. In this presentation, our panel of securities enforcement attorneys gave practical guidance on the following topics:

• The anatomy of the SEC enforcement process, from pre-investigation decisions through an action
• The jurisdictional reach of the SEC
• Key trends in China-focused enforcement matters, what the SEC is looking at now
• What you should do if the SEC does contact you