The Securities and Exchange Commission is investigating your company? Ildiko Duckor, Sarah Good and Corey Harris of Pillsbury have some tips on the “dos” and the “don’ts” to consider during the examination process, in this recent post on the D&O Diary.
• DO—establish a dedicated contact: When you’re being investigated, designate a point person to liaise with the Office of Compliance Inspection and Examination, or what the authors call the “eyes and ears” of the SEC. And it’s important this person maintains professionalism and respect throughout the process. “There is sometimes a misperception that regulators are out to “get” a particular firm, which can lead to a hostile tone of interaction,” say the authors.
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