Expansive SEC Enforcement in the Wind

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 Director of Enforcement Gurbir Grewal and the likely increase in a more expansive use of SEC enforcement.

Some of the issues we consider are:

• What is the purpose of SEC penalties; to penalize or to deter others?
• How did SEC Commissioner Crenshaw presage this talk?
• What about a potential change in DOJ penalties? Its approach and focus?
• Are monitorships back on the table?
• What about the CFPB? Will Directors and Officers be held accountable or just the low level minions?

 Resources

Matt in Radical Compliance

More on SEC Penalties Policy Shift

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