As if the SEC doesn’t have enough to deal with, it must also now contend with con artists using the names of actual SEC employees to attempt to gain confidential information and mislead potential victims. The SEC issued a press release today to warn the public about this scam. As I discuss in this post on my Enforcement Action blog over at Compliance Week, however, this is not the first “regulator impersonation” case to come down the pipe.
‘Enforcement 40’ for 2020
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