Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week, Matt and Tom take look at a recent speech by SEC Commissioner Alison Herron Lee where she considered the role of lawyers as gatekeepers under SOX 307. Some of the issues we consider
· Who do lawyers represent?
· What is the difference between lawyers and gatekeepers?
· How can or should lawyers represent multiple interests on SOX issues?
· How does this comport with state bar requirements?
· How, if at all, does SOX 307 impact compliance professionals?
· Was the speech a policy change announcement, trial balloon or something else.
Resources
Matt in Radical Compliance
SOX 307
