SEC Investigations Guide - Second Edition: December 2022
By EsqSocial Corporation 08/12/22
Even public companies with a strong code of conduct, an exemplary tone at the top, robust internal controls, and a culture of compliance may face allegations of misconduct that can lead to an investigation by the Division of Enforcement of the US Securities and Exchange Commission (the SEC, the Enforcement Division, or the Commission). For a public company, the initiation of an SEC investigation can be startling to the company’s board and senior management. Please see full Publication below for...
By: Latham & Watkins LLP