Few issues pose as significant a risk for asset managers as investigations pursued by criminal authorities and financial regulators. This panel will provide an overview of DOJ and SEC investigation processes, and discuss best practices for how to respond to such investigations, including how to respond to parallel investigations conducted by multiple regulators. The panel will also discuss the key risk areas that the DOJ and SEC have been focused on over the past year, as reflected by recent cases.


  • Gregory Baker, Partner, Lowenstein Sandler, LLP
  • Rachel Maimin, Partner, Lowenstein Sandler, LLP
  • Eduardo Santiago-Acevedo, Vice President and Senior Counsel of Regulatory Law, Prudential
  • Dan Campbell, Partner, ACA Compliance Group (moderator)

Time: 4:40-5:40 p.m.

Location: Hyatt Regency Lost Pines Resort and Spa | 575 Hyatt Lost Pines Road, Lost Pines, Texas 78612