In Fiscal Year 2022, the SEC pursued what it described as a "robust" enforcement agenda and, according to enforcement director, Gurbir Grewal, was "working with a sense of urgency to protect investors, hold wrongdoers accountable and deter future misconduct in our financial markets."
SEC to Continue to Punish Wrongdoers and Deter Misconduct
The Division of Enforcement will likely continue to use "every tool in its toolkit" and expect that public companies and other market participants will think rigorously about their business and appropriately tailor compliance practices and internal controls and policies to match.
By
Jonathan H. Hecht and Emily S. Unger
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