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Compliance into the Weeds-Episode 25
In this episode Matt Kelly and I take a deep dive into a couple of recent SEC enforcement actions. The first involved L-3 Technologies and accounting irregularities. The second involves BlackRock and the continued issues around pre-taliation. We connect these enforcement actions to broader issues involving the COSO 2013 Framework, the DOJ mandated expertise in compliance, a speak-up culture and remedial actions. For additional information, check out Matt's blog posts on these topics:
- Lessons Galore in New SEC Internal Controls Case; and
- SEC Dings BlackRock for Pre-Taliation Clauses.
Learn more about your ad choices. Visit megaphone.fm/adchoices
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By Thomas Fox
4.7
2020 ratings
In this episode Matt Kelly and I take a deep dive into a couple of recent SEC enforcement actions. The first involved L-3 Technologies and accounting irregularities. The second involves BlackRock and the continued issues around pre-taliation. We connect these enforcement actions to broader issues involving the COSO 2013 Framework, the DOJ mandated expertise in compliance, a speak-up culture and remedial actions. For additional information, check out Matt's blog posts on these topics:
- Lessons Galore in New SEC Internal Controls Case; and
- SEC Dings BlackRock for Pre-Taliation Clauses.
Learn more about your ad choices. Visit megaphone.fm/adchoices
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