United States:
Securities And Exchange Commission Year In Review: Enforcement Actions And Issues From 2020
05 April 2021
Foley Hoag LLP
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2020 was an especially eventful year for the SEC Division of
Enforcement. In a recent issue of The Investment
Lawyer, partners Lisa Wood and John Murray and associates
Christian Garcia and E. Jacqueline Chávez examine last
year's highlights and discuss the enforcement outlook for the
coming year.
Topics include:
- Enforcement in 2020: Continuity and
Change
- COVID-19 and Enforcement
- A Record Year for the Whistleblower
Program
- Scope of the SEC's Authority
Remains Unsettled
- Private Funds Remain in
Enforcement's Sights
- Broker-Dealers and Market
Integrity
Read the full article from The Investment
Lawyer here.
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.
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