SEC Searching for Rules Violations in Piles of Data.
One of the more significant trends in enforcement actions by the Securities and Exchange Commission recently may not be immediately obvious.
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‘Broken Windows’ Strategy Raises Risk-Management Fears
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 ...
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