DENVER – Strong policies and procedures and an awareness of recent Securities and Exchange Commission enforcement trends like individual liability and conflicts of interest are important if issuers want to avoid being caught up in SEC enforcement actions, several lawyers told government finance officials on Tuesday.

The comments were made during a panel at the Government Finance Officers Association’s annual conference here that was designed to explore SEC enforcement. Ben Watkins, Florida's bond finance director, moderated the panel that also included Peter Chan, a partner with Morgan, Lewis & Bockius in Chicago and former SEC lawyer, and Carol McCoog, a partner with Hawkins Delafield & Wood in Portland.

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