In a post-Sarbanes-Oxley world, in-house counsel of public (and private) companies have reason to worry that the SEC might turn its attention to their clients. The SEC is funded to take action; its budget for enforcement has increased exponentially in recent years. What happens if your company becomes the subject of an SEC investigation? How do you respond appropriately? This article will set forth some practical steps in-house counsel should consider in the event that her company receives notice that it is under SEC scrutiny.
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The information in any resource collected in this virtual library should not be construed as legal advice or legal opinion on specific facts and should not be considered representative of the views of its authors, its sponsors, and/or ACC. These resources are not intended as a definitive statement on the subject addressed. Rather, they are intended to serve as a tool providing practical advice and references for the busy in-house practitioner and other readers.