SEC Examinations and Enforcement: Adapting to Increased Scrutiny and Cooperation Between SEC Divisions
10:50 AM – 12:00 PM
Thursday, October 11
Martin Murphy, John Walsh
Who gets examined? What deficiencies go to Enforcement? Does Enforcement act on its own? Why are there fewer examinations and yet more enforcement actions? Understanding the roles of the Office of Compliance Inspections and Examinations and the Division of Enforcement and how they interact, is key to answering these questions and to understanding how the shifting regulatory landscape impacts your firm.
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