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Browse: Home / 2022 / December / 02 / SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities | Corporate Defense and Disputes

SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities | Corporate Defense and Disputes

By Securities Docket on December 2, 2022, 9:38 am

Director Grewal stated that his mission is to restore public trust in the securities markets through proactive enforcement efforts….

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Focusing on emerging risk areas.  Director Grewal mentioned three such areas:

  • Private funds, where “opacity” is “concerning,” including as to fees and expenses, conflicts of interest, and fraud;
  • Crypto, an area where he said recent events have borne out the risk profile; and
  • ESG, including asset managers’ not following their policies and procedures in marketing ESG funds.

Source: SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities | Corporate Defense and Disputes

Posted in SEC, Top | Tagged Speeches

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