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Browse: Home / 2020 / February / 11 / Recent Trends in SEC Penalties Against Public Companies | CLS Blue Sky Blog

Recent Trends in SEC Penalties Against Public Companies | CLS Blue Sky Blog

By Securities Docket on February 11, 2020, 9:34 am

Civil penalties against public companies have always been controversial, but they are now commonplace.  To the cynic, the penalty regime appears to be a studied compromise, in which public companies are allowed to settle SEC enforcement actions with reduced charges and no individual liability in exchange for a payment.  This allows the SEC to trumpet a strong enforcement program by pointing to a big monetary fine.  It also allows public companies and their executives to avoid more serious and onerous sanctions, along with the collateral consequences thereof, by paying a fine using other people’s money.

via Recent Trends in SEC Penalties Against Public Companies | CLS Blue Sky Blog.

Posted in SEC, Top | Tagged Penalties

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