Litigation partner Peter K. M. Chan will present “Why Are Disclosure Policies Important? Placing Disclosure Policies within the Context of Trends in SEC Enforcement Activity” at the Municipal Market Disclosure seminar held by the California Debt and Investment Advisory Commission (CDIAC).
Since 2010, the United States Securities and Exchange Commission (SEC) has predicated several enforcement actions at least in part on the failure of issuers to maintain sound disclosure policies. In addition, the SEC’s Enforcement Division has repeatedly placed heavy emphasis on issuers maintaining sound disclosure policies. In August 2015, the National Association of Bond Lawyers published guidelines to assist issuers in the development and administration of disclosure policies. This seminar intends to continue that dialogue by providing participants with an understanding of the purpose, structure, and content of disclosure policies, as well as practices that help issuers implement and maintain them.
CLE credit: Please see the event website for detailed CLE credit information.