10 Oct 2013

Remarks at SCCE’s Annual Compliance & Ethics Institute

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Stephen L. Cohen
Associate Director of Enforcement
SCCE Annual Conference, Washington D.C.
Oct. 7, 2013
[1]Good morning, and thank you for that kind introduction.
I appreciate the opportunity to offer you some insights in support of the profoundly important work you all do to strengthen compliance and ethics in companies and firms.

Although I hope you’ll find my remarks today encouraging, they are nonetheless only my views and do not necessarily reflect the views of the Commission or of my colleagues on the staff of the Commission.

I. Introduction

My grandmother always said that the best way to warm up an audience is through flattery. So, I’d like to start with that.

You are one of my favorite audiences to speak to. Why is that? Because I view your profession in so many ways as a kindred spirit of mine. We are all seeking to prevent unlawful or improper conduct before it happens. We each use our respective tools to cultivate effective company cultures that promote integrity, respect for the law and the highest levels of professionalism.

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