SEC ‘pay-to-play’ enforcement surge projected in 2021
By 
Aaron Nicodemus2020-10-14T19:36:00
More donations in a high-stakes election year means more chances that the Securities and Exchange Commission will pursue investigations related to its often overlooked “pay-to-play” rule.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
Article
Analysis: With Clayton leaving, SEC likely to target financial institutions
SEC Chairman Jay Clayton will step down from his post at the end of the year, allowing the Biden administration to choose his successor immediately upon taking over the White House.
-
ArticleSEC enforcement priorities under Biden: Reading the tea leaves
Careful consideration as to what new tone, direction, and priorities the SEC’s Division of Enforcement will take under Joe Biden can help you reduce compliance risk.
-
OpinionWhen AI Is Forced on Compliance: The ECCP as your Guide
When a company rapidly adopts AI, compliance officers can be blindsided, tasked with governance almost immediately. Luckily, there is a guide from the U.S. Department of Justice to help.
More from Risk Management
-
PremiumOil and gas executives mull the real costs of Venezuelan oil
U.S. oil and gas companies strong-armed into participating in the nationalization of Venezuela’s oil industry decades ago now face government pressure of the opposite kind: Invest billions into rebuilding a dilapidated oil and gas infrastructure for a high-risk country that still owes billions in unsettled debts.
-
ArticleCompliance must prepare for post-quantum cryptography requirements in contracts
While companies focus on the risks, opportunities, and regulations emerging around AI, the next tech challenge is already on the horizon. Quantum computers are here – and so are the associated crime risks, plus some encryption protections.
-
ArticleRapid regulatory change requires investment in compliance processes in financial services firms
Geopolitical instability and a general focus on increasing growth and productivity by governments worldwide are causing a slew of regulatory changes in the financial services sector. But most firms are failing to identify potential compliance changes early enough to make meaningful decisions.