Understanding the SEC Division of Enforcement The Division of Enforcement is the SEC's primary investigative arm, thus playing a crucial role in preserving the integrity of U.S. financial markets. To grasp its import for American financial markets, let's review its organization, core responsibilitie...
On November 22, 2024, the Enforcement Division of the SEC published its annual report, which detailed the agency’s enforcement efforts during its 2024 fiscal year (October 2023 through September 2024). At a high level, the Division reported a 26% decline in...
笔者简要概括如下: “SEC Division of Enforcement, Enforcement Manual (Nov. 28, 2017)”在其第二章详细介绍了其调查权限包括:非正式调查程序(Matter Under Inquiry,"MUI")、正式调查程序、行业性清查等权限。 所谓的“非正式调查程序”是指,SEC通常会根据“公众的提示或投诉”或“公司公开文件中发现的问题”开展...
SEC Division of Enforcement Details Restructuring, Priorities; Talks Cooperation, Settlements and WhistleblowersDouglas J. Davison
2021年3月4日,SEC宣布在其执法部(Division of Enforcement)下正式设立气候和ESG工作组。 根据SEC的计划,该工作组主要有两项任务:一是识别发行人ESG信息披露方面的潜在违规情况,二是识别与金融机构ESG投资策略相关的披露及合规问题。 2023财年三起与ESG相关的案件就包含了上述两个方面。
. In short, a new SEC enforcement agenda may not come fully into focus until months after the new administration begins. All that being said, it is notable that over the past four years, the Division was able to continue a vigorous and wide-ranging enforcement program in the ...
U.S. Securities and Exchange Commission's (SEC) Division of Enforcement published its Annual Report for Fiscal Year 2021 – the first under new Enforcement Director Gurbir Grewal – on Nov. 18, 2021.
2021年3月4日,sec宣布在执行部(division of enforcement)设立气候和esg工作组。 该工作组主要有两项任务,一是识别发行人esg信息披露方面的潜在违规情况 ,二是识别与金融机构esg投资策略相关的披露及合规问题。 率先公布的两起诉讼刚好印证了这两项任务。 关...
Division of Corporate Finance:Ensures investors are provided with material information (that is, relevant to a company's financial prospects or price) as they make investment decisions.6 Division of Enforcement:In charge of enforcing SEC regulations by investigating cases and bringing civil suits in ...
On November 2, 2018, the U.S. Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement released its 2018 Annual Report (“Report”) which presents and assesses the Division’s accomplishments during the 2018 Fiscal Year (“FY”) ...