FCPA Compliance Report

Karen Woody on Comings and Goings at the SEC

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In this Episode of the FCPA Compliance Report, I am joined by Professor Karen Woody to look at the current state of the SEC in the Biden Administration. Highlights of this podcast include:

A.    SEC-Early Impressions

  1. SEC debate in the public arena between the commissioners. 
  2. Early impressions of SEC Chair Gensler.
  3. What are some of the top priorities you have seen so far from the SEC?
  4. Has new enforcement life been breathed into the SEC?

    5. B.     Specific Topics

    1. Where will SEC enforcement go on SPACs? Will Lordstown Motors be a harbinger or simply just another accounting fraud?
    2. Non-bribery FCPA enforcement under books and records/internal control provisions. Does Tandy Leather continue this trend?
    3. What, if any role will SEC have in crypto regulation as a commodity? Or is it a financial instrument of some type?
    4. What other areas you are watching from the SEC for either guidance or enforcement?

      5. C.     Into the Future

      1. How, if any has the Coronavirus health crisis changed the SEC’s approach?
      2. When might we see the SEC under Gensler start to hit its stride? 

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        FCPA Compliance ReportBy Thomas Fox
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