Strategies for an individual involved in an SEC financial reporting investigation / Leonard W. Wang.

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"... discusses the problems and issues confronting an officer, director, or employee of a public company under SEC investigation for potential financial reporting violations. The paramount consideration for any such individual is to focus on protecting his or her personal interests. Amidst the confu...

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Bibliographic Details
Uniform Title:Accounting policy & practice series ; 5505-2nd.
Main Author: Wang, Leonard W.
Corporate Author: Tax Management Inc
Language:English
Published: Arlington, VA : Tax Management, [©2006]-
Series:Accounting policy & practice series ; 5505-2nd.
Subjects:
Financial statements > Law and legislation > United States.
Corporations > Accounting > Law and legislation > United States.
Disclosure of information > Law and legislation > United States.
Online Access:
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Format: Electronic Website
Contents:
  • Detailed analysis. Introduction
  • Starting off on the right foot
  • The dynamics of an SEC financial reporting investigation
  • The investigative process
  • The end game: theories of liability, potential sanctions, the Wells process, and settlement
  • Planning points: strategic considerations
  • Conclusion
  • Working papers.