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DOJ Announces Major Corporate Enforcement Policies

Monaco’s and Polite’s remarks, and the DOJ’s new policies and guidance, come amid the Department’s increasingly tough on corporate crime approach and emphasis on rewarding companies that have effective compliance programs...more

SEC Highlights New and Continuing Areas of Focus in Its 2023 Examination Priorities

On Feb. 7, 2023, the Division announced its 2023 examination priorities. These priorities, updated and published annually, provide insights into the Division’s prioritization of certain practices, products and services in its...more

FINRA Signals Expanded Enforcement Priorities in Annual Report

The 2023 Report on FINRA’s Examination and Risk Monitoring Program was published on Jan. 10, 2023. In a statement accompanying the Report, Greg Ruppert, executive vice president of FINRA’s Member Supervision organization,...more

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