‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInMoving 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, […]
Crypto Mom Scolds SEC for ‘No Meaningful Action’ to Spark Crypto Industry
‘Crypto Mom’ and SEC commissioner, Hester Peirce, has extended yet another olive branch to the cryptocurrency community. Speaking at the Securities Enforcement Forum in California on May 9th, Peirce said officials should be wary of stifling creativity with overzealous regulation. However, she also suggested a lack of regulation could have a similarly negative effect on […]
Crypto Mom Believes Regulation is “Stifling” Development – Cryptocurrency Regulation – Altcoin Buzz
In a speech at the Securities Enforcement Forum in California on May 9th, SEC Commissioner Hester Peirce calls out the SEC for “stifling” the growth of this space. While she is happy with the lack of over enforcement, there isn’t enough regulation clarity for her. via Crypto Mom Believes Regulation is “Stifling” Development – Cryptocurrency […]