Tag: Recidivists

Enforcers Place Emphasis on Punishing Repeat Corporate Offenders – WSJ

Gurbir Grewal, director of the Securities and Exchange Commission’s enforcement division, said striking at corporate recidivism is crucial to regaining the trust that the public once had in financial and other institutions. The SEC does realize that large registrants and large banks are going to have potentially numerous technical violations and compliance issues because of their sheer size, he added,…

Read More