A Punch in the Face to SEC Enforcement?

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into a recent speech by SEC Commissioner Caroline Crenshaw on a new philosophy in SEC financial penalty enforcement.  

Some of the issues we consider are:

• Who is SEC Commissioner Caroline Crenshaw?
• What was the 2006 policy regarding enforcement priorities?
• What changes did Commissioner Crenshaw propose?
• What about the timing of the remarks?
• Is this a response to the Supreme Court decision in Lui?
• What does this mean for compliance officers?

Resources

Matt’s blog post on Radical Compliance:

SEC Enforcement Speech, Umm Wow 

2006 SEC Enforcement Policy Statement

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