Like many other regulatory agencies during the last two months, the Securities and Exchange Commission has shifted a large degree of its focus to rooting out fraud and misconduct related to the coronavirus pandemic. But that doesn’t mean other offenders are off the hook.
Steven Peikin, co-director of the SEC’s Enforcement Division, provided a look into the agency’s enforcement priorities during a keynote address at the Securities Enforcement Forum West 2020 on Tuesday. While the bulk of his speech focused on the actions of the SEC’s Coronavirus Steering Committee created in late March, Peikin’s wider message for the ethics and compliance community can be summed up as follows: The Enforcement Division is still continuing full steam ahead with its non-coronavirus enforcement efforts.
