Category: SECActions

The SEC, Compliance, Tone at the Top and Volkswagen

Compliance is critical for every organization. When a possible violation is discovered the compliance systems should be the first line of defense. If those systems are not, a significant question arises not just about the effectiveness of those systems but

Tagged with: ,

This Week In Securities Litigation (Week ending March 15, 2019)

The Musk – SEC saga continued. This week Mr. Musk filed a response to the SEC’s papers seeking a contempt citation, not only arguing his position but blasting the agency. While the debate over the merits of the court proceedings

Tagged with: , , ,