Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSpeeches
SEC’s di Florio Speaks on ‘The Role of Compliance and Ethics in Risk Management’
The SEC’s Carlo V. di Florio speaks on ‘The Role of Compliance and Ethics in Risk Management.’
SEC at the ‘Inflection Point’ — Commissioner Aguilar Looks at the Challenges Ahead
Commissioner says SEC is chronically underfunded, lacks any real control over its own budget.
SEC’s Schapiro Testifies in Support of FY 2011 Budget
SEC Chairman Schapiro breaks down how agency would use $1.3 billion.
Khuzami Provides Update on ‘09 Results, Changes
SEC Enforcement Director provides update on results and initiatives in speech.
SEC Commissioner Paredes Calls for Less Lawyers, Deeper Understanding of Markets at Agency
Commissioner says SEC needs more staff with a deep understanding of financial markets.
Khuzami Announces Major Enforcement Initiatives
In a speech yesterday before the New York City Bar Association marking the end of his first 100 days as Director of the SEC Division of Enforcement, Robert Khuzami formally announced several important changes to the Enforcement program. Full details are available in this post on my Enforcement Action blog over at Compliance Week.
Copy of Robert Khuzami’s “First 100 Days” Speech Announcing Enforcement Initiatives Available Here
A copy of SEC Enforcement Director Robert Khuzami’s “First 100 Days” speech from August 5, 2009 announcing numerous important Enforcement initiatives is available here.
SEC’s Khuzami to Speak on His “First 100 Days as Director”
This evening, Robert Khuzami, the SEC’s Director of Enforcement, will address the New York City Bar Association on the subject of his “First 100 Days as Director of the SEC Division of Enforcement.” According to the Association’s announcement, Mr. Khuzami will address the three-month self-assessment the Enforcement Division has undertaken to evaluate how it can [...]
Today’s Testimony of SEC Chairman Mary Schapiro Before Senate Subcommittee
Today, SEC Chairman Mary Schapiro testifies before the U.S. Senate Committee on Appropriations’ Subcommittee on Financial Services and General Government. A copy of her prepared testimony is available here. Key sections of her testimony are laid out below: »»REINVIGORATING SEC ENFORCEMENT *** Our Division of Enforcement has been working diligently. Since the end of January, [...]
SEC’s Schapiro: 150 Active Hedge Fund Investigations Ongoing
In a speech today at the Society of American Business Editors and Writers convention in Denver, Colorado, SEC Chairman Mary Schapiro stated that the agency now has approximately 150 active hedge fund investigations and about 50 current probes involving credit default swaps. Reuters reports that Schapiro added that the SEC also has about two dozen [...]