Securities Enforcement Forum West 2023: SEC Stresses Cooperation, Self-Policing, and Self-Reporting | Perkins Coie

Senior Division of Enforcement officials from the U.S. Securities and Exchange Commission (SEC) shared the stage on May 23, 2023, with SEC alumni, private practitioners, and other professionals in the field at Securities Enforcement Forum West 2023 (the Forum). Forum panelists described recent trends in the SEC’s enforcement actions, its regulatory agenda, and upcoming priorities. Cooperation, self-policing, and self-reporting were recurring themes throughout the Forum, and SEC Staff made clear that such actions are of the utmost importance to the Commission.

SEC Division of Enforcement Director Gurbir Grewal reiterated the importance of cooperation, self-reporting, and self-policing for the SEC-regulated entities. In fact, Director Grewal emphasized that, in many investigations, the subject may avoid charges or receive reduced penalties as a result of their cooperation and self-reporting.

Source: Securities Enforcement Forum West 2023: SEC Stresses Cooperation, Self-Policing, and Self-Reporting | Perkins Coie