‘Enforcement 40’ for 2020
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By Securities Docket on October 12, 2021, 12:24 pm
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 […]