March 6, 2012

The Going In-House Handbook

In this podcast, multi-talented Susan Wolf describes her vast experience on being an in-house lawyer and corporate secretary (as explained in detail in her new book: “The Going In-House Handbook: A Concise Guide to Making Big Career Changes“), including:

– Why did you decide to write the book?
– What are the most important practical points you make?
– Any surprises while writing it?
– How do you suggest that readers use it?

SEC Warning: Beware the Fake Whistleblower Office

Recently, the SEC posted this warning about someone is impersonating its new Office of the Whistleblower by sending out bogus emails claiming that the recipient has a material misstatement or omission in their public filings or financials. It seems like such a bizarre and narrow topic to attempt to pull a hoax that you would think the bogus email would be sophisticated – but there are just enough oddities in it that I doubt the perpetrator comes from our industry. Here are what the emails said:

Dear customer, Securities and Exchange Commission Whistleblower office has received an anonymous tip on alleged misconduct at your company, including Material misstatement or omission in a company’s public filings or financial statements, or a failure to file Municipal securities transactions or public pension plans, involving such financial products as private equity funds. Failure to provide a response to this complaint within 14 day period will result in Securities and Exchange Commission investigation against your company. You can access the complaint details in U.S. Securities and Exchange Commission Tips, Complaints, and Referrals portal under the following link:

SEC Posts Whistleblower List (Means Little)

In his “Cady Bar the Door” blog, David Smyth of BrooksPierce provides an explanation of why the SEC’s Office of the Whistleblower is constantly updating its list of “potential whistleblower” candidates.

– Broc Romanek