Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into a recent speech by SEC Commissioner Caroline Crenshaw on a new philosophy in SEC financial penalty enforcement.
Some of the issues we consider are:
Resources
Matt’s blog post on Radical Compliance:
SEC Enforcement Speech, Umm Wow
2006 SEC Enforcement Policy Statement
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