The SEC’s Cooperation Framework: How Reliable a Roadmap?

February 04, 2010

The Securities and Exchange Commission recently announced an initiative intended to encourage cooperation from companies and individuals involved in the SEC’s investigations. The new guidelines authorize the SEC Staff to use certain cooperation tools that have long been standard in criminal practice. This update examines the new guidelines and cooperation framework, which the SEC hopes will lead to more efficient and effective investigations, and notably better results.

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