Sec back dating inquiry

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Most recently, he was interviewed for the article “Execution Enforcement Actions Escalate,” published in Routinely represents and advises a multinational financial services firm concerning issues arising under the federal securities and commodities laws.

The SEC may investigate any number of critical issues with a particular firm, including accounting irregularities, executive compensation and the use of derivative transactions, and parlay this investigation into an investigation of other firms within the same industry.Conducted an independent internal investigation at a billion-dollar public company into allegations of corporate malfeasance by the chief executive officer and global head of procurement.Represented a major energy company in New York State Attorney General’s investigation of public disclosures regarding climate change.Backdating is the practice of marking a document, whether a check, contract or another legally binding document, with a date that is before what it should be.Backdating is usually disallowed and even can be illegal or fraudulent based on the situation.

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