Four Big Things from The SEC Speaks in 2021

The securities regulatory and enforcement world was buzzing after PLI’s annual SEC Speaks program. From ESG to SPACs, and from “gamification” to corporate penalties, the conference hit all the hot topics. On this episode of inSecurities, Chris & Kurt share their “Four Big Things” to take away from The SEC Speaks in 2021:  Requiring admissions in SEC enforcement actions; zero tolerance for auditor independence violations; regulating the robo-advisors; and cryptocurrency in the Wild West. 

Watch SEC Speaks On-Demand at https://pli.edu/programs/SECspeaks