Tag: SEF

Need to Know: 7 Takeaways from the Securities Enforcement Forum | Holly P. Carr, LinkedIn

NEED TO KNOW NOW: The Securities Enforcement Forum was held yesterday in DC and was composed of over ten panels and 40 impressive panelists addressing the most pressing issues in SEC Enforcement. It was wonderful to see so many former SEC colleagues and hear how they view the current Enforcement landscape. While there were countless takeaways from the forum, here…

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“Partners of Honest Business and Prosecutors of Dishonesty”: SEC Chair Gary Gensler’s Remarks Before the 2023 Securities Enforcement Forum

In fiscal year 2023, our staff once again “[did] not weary of the fight.” We filed more than 780 actions, including more than 500 standalone cases. We obtained judgments and orders totaling $5 billion. Our work led to $930 million distributed to harmed investors. These numbers, though, tell only part of the story. Our philosophy behind them tells a fuller…

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SEC official says agency on the lookout for public-pension pay-to-play – PE Hub

SEC Director Andrew Ceresney has pay-to-play in mind — and has put public pensions on notice that the agency is watching. The SEC is stepping up its coordination with the FBI and U.S. Attorney’s Office as it looks into pay-to-play schemes involving public pensions, Ceresney said at the Securities Enforcement Forum in Washington last week. via SEC official says agency on…

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SEC Official: Company Reforms Can Make Monitorships Unneccesary – Risk & Compliance – WSJ

Companies that discover corruption issues might do well to clean up their act before they make disclosures to the government. Current and former officials say authorities have become more reluctant to impose outside watchdogs — known as monitorships — when companies can show they’ve already reformed the policies that allowed misconduct to occur. via SEC Official: Company Reforms Can Make…

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