SEC Enforcement Priorities and Compliance Opportunities
We recently peered into our crystal ball to divine the SEC’s 2013 enforcement priorities for advisers to private funds (i.e., hedge funds and private equity funds), but came up empty. Instead, we...
View ArticleThe SEC Speaks: Reflections and Enforcement Initiatives in 2013
When the SEC talks, people listen. And securities enforcement professions look forward all year to listening to the Commissioners and the SEC’s senior leadership speak at The SEC Speaks conference. In...
View ArticleSEC Enforcement Division to CCOs: We Are in This Together!
Stephen Cohen, the SEC’s Associate Director of Enforcement, tied robust compliance programs to enforcement “credits”. In remarks to compliance and ethics professionals at the annual conference of the...
View ArticleA New SEC Enforcement Direction for 2014
Each year, the SEC puts on its most informative conference of the year: The SEC Speaks. During the course of the two-day conference, held this year on February 21 and 22, the Chair and each...
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