FCPA Compliance Report

Karen Woody on JPMorgan and Nikola SEC Enforcement Actions

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In this episode of the FCPA Compliance Report, I am joined by Professor Karen Woody. We discuss the recent SEC enforcement actions involving JPMorgan and Nikola which were announced in December 2021. Highlights of this podcast include:

  1. Background on both cases.
  2. Why was the SEC so excised with JPMorgan?
  3. What are the broader lessons for the Compliance Professional?
  4. Compliance Consultant or Monitor or both?
  5. Nikola and the trouble with SPACs?
  6. What is the intersection of puffing, faking it til you make it and illegal conduct?
  7. SPACs and Due Diligence.
  8. Could Nikola change the SEC approach to SPACs?
  9. From visionary to founder to CEO of a public company?
  10. The shadow of Elizabeth Holmes?

    11. Resources-Tom on the FCPA Compliance and Ethics Blog

    JPMorgan

    Nikola

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