SEC Investigations: Are There Benefits to Cooperation and Self-Reporting (2.0 Ethics CPE)

September 26, 2018

When fraud is identified, or suspected, in an organization, companies and their boards are not always aware of what steps to take. Should they conduct a thorough internal investigation, or should they alert the Division of Enforcement at the Securities and Exchange Commission (SEC) about a potential securities law violation? Are there tangible benefits to self-reporting to the SEC?
In this course, panelists have an impactful discussion and explore what questions boards and company management should be asking of their counsel, their chief compliance officers, chief audit executives, and external auditors. At what point should the SEC be informed of potential misconduct? What are the risks if a company does not self-report? (December 2016)

Moderator:

  • Cindy Fornelli, Executive Director, Center for Audit Quality

Panelists:

  • Kara Brockmeyer, Chief, SEC Foreign Corrupt Practices Act Unit
  • Rodney Chase, Audit Committee Member, Tesoro
  • Timothy Hedley, Partner, KPMG LLP
  • Fiona Philip, Partner, Sidley Austin LLP

Take this course by clicking HERE.

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