Subtitle: Practice and procedure in handling an SEC investigation after Sarbanes-Oxley 2004- Subtitle: Practice and procedure in handling an SEC investigation in the Sarbanes-Oxley era
1 online resource.
Corporate practice portfolio series ; no. 77-5th.
" ... discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees. This portfolio also examines related issues, including disclosure of an SEC investigation and issues arising out of parallel civil and criminal inquiries."
Bibliography, etc. Note
Includes bibliographical references.
Formatted Contents Note
Detailed analysis. Introduction The SEC and its enforcement program Informal investigations The formal order of investigation Disclosure issues in an SEC investigation The internal investigation Responding to requests for documents and information Testimony Representing multiple witnesses: conflicts of interest and sequestration Parallel proceedings Challenges to SEC investigations and subpoenas The Wells process SEC administrative proceedings Federal court injunctive proceedings brought by the SEC Remedies available to the SEC Discovery of information from the SEC Settlement discussions Collateral consequences of an SEC action Avoiding an enforcement action: implementing and maintaining effective compliance Working papers.
Digital File Characteristics
System Details Note
Mode of access: World Wide Web.
Source of Description
Title from title screen (viewed Aug. 27, 2014).