Trending news

Ian Roffman quoted in “Why Self-Reporting to SEC Warrants Caution”

Print PDF
Ian Roffman, a member of the firm’s Government Investigations and White Collar Defense practice group and a former SEC trial attorney, was quoted in “Why Self-Reporting to SEC Warrants Caution” on January 9. The article discusses the need for fund firms to be mindful of the kinds of misconduct that warrants self-reporting to the SEC. Ian acknowledges that a firm may get credit for reaching out to the SEC and notes that a COO should self-report in instances where there is an SEC investigation pending or if misconduct is likely to be reported by someone else. Ian goes on to say that if a company volunteers information it needs to be prepared to show the SEC that it has addressed all misconduct, made amends to victims and taken steps to prevent a reoccurrence.
More News >
Back to Page