Securities and Exchange Commission Chair Mary Jo White has
called for the SEC to be more aggressive in its enforcement
program. By all accounts, the Enforcement Division has responded to
that call. Given the events of the past decade involving the Madoff
fraud and the fallout from the 2008 financial crisis, we believe
both the aggressive tone and positions the SEC has taken in recent
years will continue.
In this memorandum, Review of SEC Enforcement Developments in 2014,
Partner Bill McLucas outlines some of the developments in the
SEC's enforcement program and the remedies it has pursued over
the past year. He also discusses important developments in areas
where we expect to see continued enforcement attention during 2015,
including insider trading law, the private equity industry, and
accounting and financial reporting matters.
If you have any questions about the SEC's current enforcement
program, or have a specific regulatory issue that requires counsel
and expert advice, please feel free to contact Bill McLucas.
Please click on the link below to read the full text of this article
Review Of SEC Enforcement Developments In 2014, And A Look Forward
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
