As the SEC has recently completed its fiscal year on September 30, 2021, where it pushed its enforcement initiatives under new Chairman Gary Gensler, a brief overview of its recent track record is in order. No one can now...more
Turning a battleship even slightly creates a large wake, not unlike the enforcement waters that have been churning recently at the Securities and Exchange Commission (SEC). The new agency head, Gary Gensler, was formerly an...more
Earlier this summer, the Department of Justice (DOJ) updated its Evaluation of Corporate Compliance Programs guidance. As the recent updates make clear, one of the hallmarks of an effective corporate compliance program is the...more