Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week, Matt and Tom take look at a recent speech by SEC Commissioner Alison Herron Lee where she considered the role of lawyers as gatekeepers under SOX 307. Some of the issues we consider 

·      Who do lawyers represent?

·      What is the difference between lawyers and gatekeepers?

·      How can or should lawyers represent multiple interests on SOX issues?

·       How does this comport with state bar requirements? 

·      How, if at all, does SOX 307 impact compliance professionals?

·      Was the speech a policy change announcement, trial balloon or something else. 

Resources

Matt in Radical Compliance

SOX 307

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