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Handling Communications Amid SEC Investigations

The Division of Enforcement at the Securities and Exchange Commission has been initiating both informal and formal investigations at a record pace over the past two years. In addition, companies in a variety of industries—including oil companies and telecommunications firms—are increasingly receiving information requests from the Commission; in July, the SEC asked 20 telecommunications companies for specific information about how they count their subscribers.

And though the letters are not to be construed as an indication of any wrongdoing, the sensitivity of the public markets can often misconstrue the most innocuous of regulatory inquiries.

As a result, it's critical that companies prepare strategies for reacting to investigations; those that fail to anticipate and plan for such event can caught like a deer in headlights.

Life Cycle Of A Probe

In order to lay the groundwork for a communications strategy, it’s important...

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