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Monday Morning Quarterbacking - Former SEC Lawyers Speak on Government Expectations of Investigations
Andrew Dunbar, Chief Compliance Officer, Herbalife Nutrition.
Nick Morgan, Partner, Paul Hastings.
Michelle Alfi-Roig, Dir Ethics & Compliance, Herbalife Nutrition.
2022-10-17
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You and the SEC: strategies on how to conduct, report, and supervise your investigations to maximize credibility with the SEC
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Tips for avoiding innocent mistakes in the handling of whistleblower complaints that could inadvertently land the company in hot water
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Understand the outer limits of the SEC staff's authority in making demands as to how an investigation is conducted
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