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- Title
Responding to an SEC Investigation.
- Authors
Sanders, James L.; Greenberg, Gordon
- Abstract
The article discusses how companies can best responds to probes by the U. S. Securities and Exchange Commission (SEC). The article explains how the SEC conducts most probes, explaining that giving testimony and information is voluntary, but if declined can result in a formal investigation. The article explains that when a company is faced with an investigation, it is important to determine if the corporation is a target, if the corporation is required to disclose the investigation to its public filings, if the corporate officials being scrutinized obtain separate legal counsel, and if the company should conduct an internal investigation.
- Subjects
UNITED States; CORPORATE corruption; COMMERCIAL crimes; INVESTIGATIONS; BUSINESS ethics; UNITED States. Securities &; Exchange Commission; GOVERNMENTAL investigations; COMMERCIAL crime investigation; CORPORATIONS; LAWYERS
- Publication
Financial Executive, 2004, Vol 20, Issue 9, p54
- ISSN
0895-4186
- Publication type
Article