Daily Archives: October 12, 2021, 12:24 pm

SEC 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 a given area, that means…

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