In determining to accept the Offer, the Commission considered remedial acts
promptly undertaken by Respondents and cooperation afforded the Commission staff by Respondents during its investigation. This cooperation included conducting an independent internal investigation, sharing the results of that investigation with the Commission's staff, and
obtaining the resignations of certain supervisory personnel and others.
Respondents undertake to:
Ongoing Cooperation. Respondents shall cooperate fully with the Commission in
any and all investigations, litigations or other proceedings relating to or arising from the matters
described in this Order. In connection with such cooperation, Respondents have undertaken:
To produce, without service of a notice or subpoena, any and all documents and other information requested by the Commission's staff;
To use its best efforts to cause their employees to be interviewed by the Commission's staff at such times as the staff reasonably may direct;
To use its best efforts to cause their employees to appear and testify truthfully and completely without service of a notice or subpoena in such investigations, depositions, hearings or trials as may be requested by the Commission's staff; and
That in connection with any testimony of Respondents to be conducted at deposition, hearing or trial pursuant to a notice or subpoena, Respondents:
i. Agree that any such notice or subpoena for Respondents' appearance and testimony may be served by regular mail on their attorney, Weil, Gotshal & Manges, 767 Fifth Avenue, New York, NY 10153, attn: Jonathan Polkes, Esq.; and
ii. Agree that any such notice or subpoena for Respondents' appearance and testimony in an action pending in a United States District Court may be served, and may require testimony, beyond the territorial limits imposed by the Federal Rules of Civil Procedure.
Independent Distribution Consultant
Respondents shall retain, within 60 days of the date of entry of this Order, the
services of an Independent Distribution Consultant not unacceptable to the staff of the Commission. The Independent Distribution Consultant's compensation and expenses shall be