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Join the Securities Litigation and Enforcement Group on LinkedInSEC Enforcement Director Urges Market Participants to Practice “Proactive Compliance” | Cadwalader Cabinet
New SEC Division of Enforcement Director Gurbir Grewal urged firms to focus on “proactive compliance” to ensure that they are continually tailoring their compliance strategies to evolving technologies and regulations. In his first speech as Director, Mr. Grewal cautioned firms against the assumption that if “regulators are particularly focused on issues ‘X’ or ‘Y’ in […]