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Browse: Home / 2017 / November / 16 / Closing the Door on “Broken Windows” – What Does It Mean for Private Fund Sponsors? – Lexology

Closing the Door on “Broken Windows” – What Does It Mean for Private Fund Sponsors? – Lexology

By Securities Docket on November 16, 2017, 8:21 am

Recent speeches by SEC Commissioner Michael Piwowar and SEC Division of Enforcement Co-Directors Stephanie Avakian and Steven Peikin indicate that the era of the “broken windows” approach, where relatively minor compliance infractions were broadly and aggressively policed and often punished in order to deter potentially larger violations, may be coming to an end….

via Closing the Door on “Broken Windows” – What Does It Mean for Private Fund Sponsors? – Lexology

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