Steven Peikin, who leads Sullivan & Cromwell’s Securities & Commodities Investigations Practice, participated in a November 15 panel discussion, “Masterclass: Managing a True Corporate Crisis/Major Internal Investigation,” at Securities Docket’s Securities Enforcement Forum. Steve served as Co-Director of the Securities and Exchange Commission’s Division of Enforcement from 2017 to 2020 was a prosecutor for eight years in the U.S. Attorney’s Office for the Southern District of New York, including as Chief of the Securities and Commodities Fraud Task Force.
Topics included enforcement agencies’ approaches to cooperation, determining when to self-report to authorities, and working with auditors in investigations. The panel also discussed the difficult issues arising from information stored on personal devices, which Steve described as the most significant recent change in internal investigations.
The panel also included William Baker III of Latham & Watkin; Mark Cave, Associate Director of the SEC; Caz Hashemi of Wilson Sonsini Goodrich & Rosati and Philip Khinda of Cadwalader.
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