



The $300,000 ChallengeThe Investor Protection Act allows the SEC to compensate employees up to $300,000 for every $1 Million it levies in sanctions.
Investor due diligenceInvestment professionals can actively engage companies to improve transparency, shareowner rights and board accountability.
Avoid being blind-sidedIdentify risks at the source, analyze & determine the level of risk, and provide management an opportunity to contain risks.


















