‘Enforcement 40’ for 2020
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By Securities Docket on May 13, 2020, 6:33 pm
In his keynote address to Securities Enforcement Forum West 2020, SEC Enforcement Co-Director Steven Peikin discussed some of the efforts of the Division of Enforcement to detect misconduct arising out of the COVID-19 pandemic and related market disruption, including the formation of a steering committee to proactively identify and monitor areas of potential misconduct. Of […]
By Securities Docket on May 13, 2020, 8:12 am
People close to Loeffler are advising her to meet directly with securities regulators including those at the Securities and Exchange Commission, Wall Street’s top cop, and make her case that the stock sales were not based on illegal “insider” information. The game plan is to get regulators to publicly state that Loeffler’s stock sales were legal and that […]
By Securities Docket on May 13, 2020, 8:09 am
“We’re all very aware of the challenges that companies and individuals are facing during this time with regard to financial reporting, accounting, and auditing. We’re also very much aware of the history of economic downturns and how these situations can reveal past errors or frauds,” said Matt Jacques, chief accountant for the Division of Enforcement […]
By Securities Docket on May 13, 2020, 8:08 am
The agency has received over 4,000 such tips since mid-March, representing a 35% increase over the same period a year ago, Steven Peikin, co-director of the SEC’s Enforcement Division, told attendees of a virtual conference. via Tips to U.S. Securities and Exchange Commission have surged in recent weeks -official – Reuters.
By Securities Docket on May 13, 2020, 8:07 am
So this afternoon, I’d like to share with you how the Division of Enforcement is responding during this ongoing crisis. I’ll describe some of the work we are doing to detect and address COVID-19-related misconduct. Then I will turn to our regular docket of investigations and litigations. All of our regular enforcement responsibilities remain in […]