A Punch in the Face to SEC Enforcement? - a podcast by Tom Fox

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:

Who is SEC Commissioner Caroline Crenshaw?What was the 2006 policy regarding enforcement priorities?

What changes did Commissioner Crenshaw propose?What about the timing of the remarks?

Is this a response to the Supreme Court decision in Lui?What does this mean for compliance officers?

ResourcesMatt’s blog post on Radical Compliance:
SEC Enforcement Speech, Umm Wow 2006 SEC Enforcement Policy Statement
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