Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject.
This week Matt and I take a deep dive into a recent speech by SEC Director of Enforcement Gurbir Grewal and the likely increase in a more expansive use of SEC enforcement.
Some of See more +
Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject.
This week Matt and I take a deep dive into a recent speech by SEC Director of Enforcement Gurbir Grewal and the likely increase in a more expansive use of SEC enforcement.
Some of the issues we consider are:
1. What is the purpose of SEC penalties; to penalize or deter others?
2. How did SEC Commissioner Crenshaw presage this talk?
3. What about a potential change in DOJ penalties? Its approach and focus?
4. Are monitorships back on the table?
5. What about the CFPB? Will Directors and Officers be held accountable or just the low-level minions? See less -
