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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInFacing No Urgent Crises, SEC ‘Spreads Its Wings’ — Think Advisor
As the big-name enforcement cases from the financial crisis draw to a close, the Securities and Exchange Commission has the “luxury” of freedom to tackle a wide variety of enforcement issues, its enforcement chief says. via Facing No Urgent Crises, SEC ‘Spreads Its Wings’ — Think Advisor
Here’s how the SEC is preparing for life after financial crisis — Washington Post
As head of the division, Ceresney sets the agenda for his unit as it pivots away from handling financial crisis cases, and strives to meet White’s promise of a “bold and unrelenting” crackdown on Wall Street abuses. He gets first crack at deciding which cases to bring, when to settle and under what terms. Here’s […]
SEC Enforcement: Talking the Talk, But Walking the Walk? — CLS Blue Sky Blog
Almost everyone has an opinion about securities enforcement. Many are disappointed (and even angry) that “few high level executives” have been prosecuted (criminally or even civilly) in connection with the 2008 financial crisis.[1] Deep in their bunker, the SEC still has some diehards who maintain that fraud has been fully prosecuted, but, even there, attitudes […]
Ex-Commissioner Calls on SEC to Focus Enforcement Attention on Culpability, Harm – Bloomberg Law
Former Securities and Exchange Commissioner Troy Paredes Oct. 9 urged the agency to focus its enforcement attention on activities involving the most culpable individuals and firms, and the most harm to investors. “In my view, it is particularly important that” the SEC base its enforcement decisions on the facts, the law and due process considerations, […]
SEC’s Enforcement Unit Changes Tack – The CFO Report – WSJ
Securities regulators are realigning their enforcement units. Andrew Ceresney, the new co-head of enforcement for the U.S. Securities and Exchange Commission, said Wednesday the agency is looking more closely at half a dozen areas, including complex securities, financial reporting fraud, microcap fraud, market structure and implementation of new rules. via SEC’s Enforcement Unit Changes Tack […]