DOJ and the SEC Enforcement Division have launched initiatives targeting executive compensation clawbacks.
The SEC is aggressively pursuing SOX 304 compensation clawbacks from Chief Executive Officers and Chief Financial...more
Late last week, the Department of Justice’s Deputy Attorney General, Lisa Monaco, announced several new guidelines for prosecutors to use when determining how to assess and treat corporate offenders....more
9/21/2022
/ Compliance ,
Compliance Monitoring ,
Corporate Crimes ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Enforcement ,
Individual Accountability ,
New Guidance ,
Prior Wrongful Acts ,
Recidivism ,
Self-Disclosure Requirements ,
Transparency
The Securities and Exchange Commission’s (SEC or Commission) Office of Compliance Inspections and Examinations (OCIE) announced in a September 15, 2015 Risk Alert (2015 Risk Alert) that it will be conducting a second round of...more