In this episode of the FCPA Compliance Report, I am joined by Professor Karen Woody. We discuss the recent SEC enforcement actions involving JPMorgan and Nikola which were announced in December 2021. Highlights of this podcast include:
- Background on both cases.
- Why was the SEC so excised with JPMorgan?
- What are the broader lessons for the Compliance Professional?
- Compliance Consultant or Monitor or both?
- Nikola and the trouble with SPACs?
- What is the intersection of puffing, faking it til you make it and illegal conduct?
- SPACs and Due Diligence.
- Could Nikola change the SEC approach to SPACs?
- From visionary to founder to CEO of a public company?
- The shadow of Elizabeth Holmes?
Resources-Tom on the FCPA Compliance and Ethics Blog
JPMorgan
Nikola