Enforcement activity by the United States Department of Justice and the United States Securities & Exchange Commission slowed a bit during 2017, likely resulting from the change in administration. Despite this decline in 2017, both agencies continue to have strong enforcement agendas in several key areas.
In a recent webcast hosted by The Knowledge Group, StoneTurn Partner Cathy Connolly, along with a panel of attorneys, offered the audience helpful insights on recent enforcement trends and practical insights for companies that may be faced with the prospect of a government investigation. The webcast focused on how companies should respond to and appropriately investigate an event in today’s regulatory environment.
The speakers also discussed the government’s focus on assessing a company’s compliance and ethics program during an investigation, and how that might impact the government’s enforcement actions, and the importance of a sound remediation plan to address issues that are the subject of the investigation. Finally, the speakers discussed the possibility of the government requiring the appointment of an independent monitor for a company’s ongoing remediation efforts.
Cathy Connolly has more than 20 years of forensic accounting, complex business litigation and audit experience. She has worked on a variety of accounting-related forensic and litigation matters, including investigations […]