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How Public Companies Can Address the Ethical Issues that Arise During an SEC Investigation-March 4
Markkula Center for Applied Ethics ; Morriston & Foerster
Concerned that financial fraud by companies may be continuing despite safeguards put in place under Sarbanes-Oxley, the SEC has announced that it will be taking a new and more active look at the financial reporting and disclosures of public companies. This new initiative is being spearheaded by the SEC’s Division of Enforcement, and its recently created “FRAud” (Financial Reporting and Audit) Task Force.
As a result of the SEC’s renewed enforcement efforts, public companies, officers and directors, and auditors can expect an increase in the number of investigations being conducted. The SEC will be taking advantage of whistleblower tips, market surveillance data, private lawsuits, industry sweeps and public filings in determining which companies will be subject to investigation. As a result, companies are at significant risk of being on the receiving end of an SEC subpoena. Being ready for the SEC, knowing how to respond to the staff, and understanding the ethical issues that arise are critical for companies in successfully navigating through an investigation.
Our panelists include SEC enforcement officials, outside counsel, auditors and ethics experts who will discuss recent developments at the SEC and what these mean to public companies and their officers and directors. During this program, our speakers will address:
Topics Will Include:
Who Should Attend:
Open to the Public
This invitation is transferable and open to colleagues and guests.
For more information: