All Broken Windows articles

  • Article

    ‘Broken Windows’ Strategy Raises Risk-Management Fears

    2015-02-18T12:45:00Z

    The SEC has been pushing its “broken windows” enforcement strategy for more than a year now, chasing down minor infractions alongside larger securities violations. What have we learned? For starters, don’t expect isolated citations; larger sweeps get more bang for the SEC’s buck. As for compliance officers, their jobs will ...