Is the SEC Being Too Tough on Compliance Officers

The U.S. Securities and Exchange Commission has been charging corporate ‘gatekeepers,’ such as auditors and compliance officers, who allegedly fail to identi…

Tate comment: it’s can be pretty easy to find fault when something is thought to have gone wrong, and just because something negative or unexpected occurs doesn’t mean that someone did something wrong. It depends on the facts and circumstances of each situation. Click on the following link for the article:

Tate’s Excellent Audit Committee Guide updated August 7, 2015 (122 pages) CLICK HERE.