Compliance into the Weeds

Expansive SEC Enforcement in the Wind

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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

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    Compliance into the WeedsBy Tom Fox
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