Former Securities and Exchange Commissioner Troy Paredes Oct. 9 urged the agency to focus its enforcement attention on activities involving the most culpable individuals and firms, and the most harm to investors.
“In my view, it is particularly important that” the SEC base its enforcement decisions on the facts, the law and due process considerations, rather than whether there is public outcry over the incident, said the former commissioner.
‘Enforcement 40’ for 2020
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