HOW THE SEC ENFORCEMENT DIVISION RESPONDS TO A CRISIS

On 28 March, a post on the Compliance & Enforcement blog of the New York University School of Law sets out to explain how the SEC is coping and on what its Enforcement Division will be concentrating during the crisis.  It is said, as one might expect, that it will be focusing on things and people seeking to take advantage of the crisis to carry out scams and frauds etc.  However, it is said that the majority of SEC staff have begun teleworking, and the agency has “transitioned to a full telework posture with limited exceptions”.  The post lists the types of investigations it expects the Enforcement Division to undertake.

https://wp.nyu.edu/compliance_enforcement/2020/03/27/how-the-sec-enforcement-division-responds-to-a-crisis/

 

 

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Author: raytodd2017

Chartered Legal Executive and former senior manager with Isle of Man Customs and Excise, where I was (amongst other things) Sanctions Officer (for UN/EU sanctions), Export Licensing Officer and Manager of the Legal-Library & Collectorate Support Section

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