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 Learn more about your ad choices. Visit megaphone.fm/adchoices