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