‘Enforcement 40’ for 2020
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By Securities Docket on May 17, 2018, 10:14 am
Signals from the U.S. Securities and Exchange Commission over how seriously it takes cybersecurity, combined with a Supreme Court ruling on whistleblower protections, are putting pressure on companies to be more careful about how they deal with potential tipsters, lawyers say. via Cybersecurity Whistleblowers Are Growing Corporate Challenge – Risk & Compliance Journal. – WSJ.
By Securities Docket on May 17, 2018, 7:40 am
“Since we’ve been in this job, which has now been just about a year, the circumstances in which we’ve filed litigation actions as administrative proceedings have been fairly limited,” Avakian said. “And I would say broadly they’ve been limited to circumstances where either the charges that we’re pursuing are only available in the administrative forum, […]
By Securities Docket on May 17, 2018, 7:38 am
Rep. Bill Huizenga, R-Mich., chairman of the subcommittee, queried the co-directors on recent news reports that the agency may be “getting soft of Wall Street” with the drop in enforcement actions since the new administration — citing 754 actions brought in 2017 versus 828 in 2016. Avakian responded that “When we think about to what degree […]