This website uses cookies. By using this website, you agree to our Cookie Policy.
November 06, 2017
Kyle DeYoung comments in Ignites about recent comments by SEC officials indicating that the agency is likely to bring fewer cases focused on minor infractions as head count in the enforcement division shrinks.
An excerpt from "SEC to Dial Back Sweep Exams, Trim Enforcement Squad," Ignites, November 6, 2017:
The new direction could mean that examiners shift from focusing on industrywide concerns that send a message to ferreting out specific instances of “intentional misconduct,” says Kyle DeYoung, a partner at Cadwalader, Wickersham & Taft.
In late September, the SEC launched a Retail Strategy Task Force aimed at spotting “large-scale misconduct affecting retail investors." That initiative, along with the enforcement division’s search for intentional misconduct, may foretell a rise in enforcement actions that hold individuals accountable for wrongdoing, says Cadwalader’s DeYoung.
our latest insights on the impact of COVID-19 to help you navigate this unprecedented environment.
Learn more about the event and watch the on-demand replay here.
Selections to the Lawdragon 500 are limited to no more than 500 lawyers in the country.
Making a Mark on Our Communities: Pro Bono Report 2020