Securities
Dec. 10, 2025
SEC at the door? Mind your ethics - and your client
When the SEC comes knocking, corporate counsel must call in reinforcements, guard confidences, spot conflicts and tread carefully to protect both the company and themselves.
Imagine this scenario: you work as in-house corporate counsel at a private company. The U.S. Securities and Exchange Commission (SEC) initiates an investigation of the company. Who should you contact? What measures do you take to inform the company and its employees? What are the correct protocols in navigating and complying with the SEC's requests? And what ethical obligations should you be considering?
While...
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