Search for Events
Search by date
Choose From Date
Choose To Date

Auction Rate Securities: Compliance Issues on the Horizon

August 26, 2008

Sutherland Partner S. Lawrence Polk is speaking at the "Auction Rate Securities:  Compliance Issues on the Horizon" Conference, August 26, 2008.  The program will cover:  how to prepare for potential regulatory inquiries; best practices for identifying and evaluating conflicts of interest; best practices for CCOs in responding to customer complaints or inquiries about auction rate securities; the ramifications that could arise if class-action claims brought by customers are consolidated into one multi-district litigation forum; strategies for opposing class certification of claims; and what kind of information your firm should start gathering that could later help you mount a defense in case customers file a complaint regarding your sales to them.

A CD recording of this conference is available for purchase here.

Related People
Related Practices/Industries

Our Story

Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
Add this page to MYBRIEFCASE
Events - Auction Rate Securities: Compliance Issues on the Horizon
Save ChangesDownload MYBRIEFCASEClear All