Paul Pelletier will speak in the panel "Self-reporting: Voluntary…Mandatory…Coerced?" at the Seventh Annual National Institute on Securities Fraud presented by the American Bar Association.
Self-reporting potential securities fraud violations, including FCPA problems, is still technically voluntary under the most recent iterations of DOJ and SEC policies. But with external auditors posing the 10A threat, board members worried about personal liability, and the ever-present threat of a derivative demand (or a complaint alleging demand futility), the options are not always that clear. Listen and learn as this panel discusses the strategies, risks, and rewards of self-reporting, not self-reporting, and making the most of either decision, including contingency plans.