• Home
  • About
  • Webcasts
  • ‘Enforcement 40’ for 2020
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Securities-Docket-Leaderboard_9Sec
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / 2014 / June / 26 / Executive Beware: The SEC Now Wants To Police Unethical Corporate Conduct — Forbes

Executive Beware: The SEC Now Wants To Police Unethical Corporate Conduct — Forbes

By Securities Docket on June 26, 2014, 4:00 pm

Big violations are easy to define and the bad actors most always know they are engaging in wrongdoing, but what constitutes a small violation worthy of the costs and ramifications of a federal civil prosecution?  Where will the SEC draw that blurry line between conduct that is unlawful versus merely unethical?  Or, in the eyes of the SEC, is the largely undefined concept of unethical corporate financial behavior always unlawful?  If so, then are we seeing the dawn of an ethics-based enforcement program?

This article addresses the importance of defining and identifying unethical corporate conduct, the pitfalls that can result from unethical behavior, and best practices for creating an environment of ethical corporate compliance.

via Executive Beware: The SEC Now Wants To Police Unethical Corporate Conduct — Forbes

Blog Widget by LinkWithin

Posted in SEC, Top | Tagged Broken Windows, Ethics

« Previous Next »

‘Enforcement 40’ for 2020

Ankura 260x250

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2021 Securities Docket.

Powered by WordPress and Hybrid.