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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC Official Decries Delay Tactics Used by Some Defense Lawyers – WSJ
Although Mr. Grewal said he welcomed zealous advocacy, he added that he was frequently hearing from SEC staff about behavior that crossed the line to what he called “gamesmanship.” “Too often, we see defense counsel—sometimes even including [SEC enforcement division] alums—engage in conduct that seems to have little purpose other than to delay our investigations,” […]
2021 SEC Regulation Outside the United States – Scott Friestad Memorial Keynote Address
Although the focus of the Enforcement Division may change and evolve over time depending on issues facing and of importance to investors, companies, and the economy as a whole, or in response to new and emerging technologies and investment products, we will continue to apply long-standing, well-known and understood regulations and standards that govern the […]
Moving Forward Together – Enforcement for Everyone — Speech by SEC Commissioner Caroline A. Crenshaw
The SEC has a three part mission, and protecting a company’s shareholders is part of that, but not at the expense of the larger market, particularly when there are other companies – and shareholders – who have committed to and invested in compliance. So in setting penalties, we can’t look only at the impact the […]
Protecting Everyday Investors and Preserving Market Integrity: The SEC’s Division of Enforcement
But most impressive is how the staff continued to protect the securities markets from kitchens and living rooms while at the same time being caregivers and teachers and juggling video calls with all manner of chaos in the background. These are unprecedented circumstances and the staff acted in unprecedented ways to respond to all of […]
Investor-Focused, Nimble and Vigorous Enforcement at the SEC
Third, a thank you to Stephanie Avakian, who you will hear from in a few moments.[1] Stephanie was the Acting Director of Enforcement when I arrived. I had not previously met her. Many people expressed interest in the Director position. Well, to make a long story short, it was quickly apparent to me that Steve […]
SEC Division of Enforcement Ramps Up Coronavirus Efforts | The Recorder
During a May 12 virtual keynote address at the Securities Enforcement Forum West 2020, Steve Peikin, outgoing Enforcement co-director, stated that Enforcement had formed a Coronavirus Steering Committee in late-March. The Steering Committee, which is composed of approximately 24 managers from within Enforcement, was formed to “proactively identify and monitor areas of potential misconduct, ensure […]
SEC Enforcement Division: COVID-19-Related Enforcement Matters and What Lies Ahead | Morgan Lewis – JDSupra
In a recent keynote speech, Co-Director of the US Securities and Exchange Commission’s Division of Enforcement Steven Peikin made it clear that the Division has made coronavirus (COVID-19) related enforcement matters a top priority and is dedicating significant time and resources to respond to such issues. Co-Director Peikin, speaking on May 12 at the virtual […]
Keynote Address by Steven Peikin: Securities Enforcement Forum West 2020
So this afternoon, I’d like to share with you how the Division of Enforcement is responding during this ongoing crisis. I’ll describe some of the work we are doing to detect and address COVID-19-related misconduct. Then I will turn to our regular docket of investigations and litigations. All of our regular enforcement responsibilities remain in […]
Broken Windows: Remarks before the 51st Annual Institute on Securities Regulation
How can we make our enforcement program even better than it is? Over the past nearly two years, I have thought a lot about this question as I read the enforcement recommendations sent to my office and talk with our enforcement staff. The SEC’s enforcement program effectively serves American investors and the capital markets that […]
SEC Chairman Jay Clayton’s Remarks to the Economic Club of New York
To be clear, I do not intend to change the FCPA enforcement posture of the SEC. We should, however, recognize that we are acting largely alone and other countries are incentivized to play, and I believe some are in fact playing, strategies that take advantage of our laudable efforts. Taking a step back, this experience, […]