All Regualtory Enforcement articles

  • Article

    Five-year limit placed on SEC disgorgement penalties


    The SEC must rethink how it collects billions of dollars through disgorgement now that the Supreme Court has imposed a five-year statute of limitations.

  • Blog

    SEC names co-directors for Enforcement Division


    The SEC has announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named co-directors of the Enforcement Division.

  • Article

    IKEA: Compliance and enforcement are two sides of the same coin


    IKEA and other large retailers in Europe have been accused of ignoring EU commercial transportation rules, suggesting a widespread flouting of the rules and the support of numerous unsustainable business practices.

  • Article

    Employee Investigations Post-Yates Memo


    Image: Any company that has faced allegations of corporate misconduct knows how quickly the scope and cost of an internal investigation can grow—a concern that has only amplified following the Justice Department’s Yates Memo. “Corporate compliance professionals have expressed concern that this policy will result in companies undertaking unnecessarily broad, ...