SEC Announces Robust Enforcement Results for Fiscal 2023

SEC and PCAOB Enforcement: 2023 accounting and audit highlights

On November 14, 2023, the SEC announced its enforcement results for the fiscal year ending ... These actions allowed Newell to announce “strong” ...

SEC lauds cooperators, whistleblowers in FY23 enforcement results

... financial remedies ordered in a single year in fiscal year 2023 ... “Whether it was by leveraging risk-based initiatives, seeking robust ...

SEC Enforcement Division Announces FY22 Results

1 Notably, the Report — which covered the fiscal year ending September 30, 2022 (FY 2022) — highlighted that the number of SEC enforcement actions filed in FY ...

What do the SEC enforcement results tell us about compliance trends?

“In fiscal year 2023, the SEC consistently rewarded meaningful cooperation to efficiently promote compliance across the securities industry.

SEC Releases Enforcement Results for Fiscal Year 2023 | DART

Among other things, the Commission “filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, ...

Reporting Agency Performance: Behind the SEC's Enforcement ...

To obtain reliable results, one cannot use the SEC's reported ... 334. See infra Table 3B. 335. See SEC Announces Fiscal 2008 Enforcement Results, U.S. SEC.

US Regulators Announce Enforcement Results - Insights and Impact

The SEC announced that it filed 784 enforcement actions during its 2023 fiscal year, a 3% increase over the previous year, including: 501 ...

SEC Announces Enforcement Results for Fiscal Year 2023 - Joot

This year brought a total of 784 enforcement actions that amounted to another 3% increase from the year 2022. These actions also include over ...

Securing Integrity: The SEC and DOJ's Unified Front and Pursuit of ...

On May 23, 2024, the Securities Enforcement Forum West 2024 brought together numerous SEC enforcement and DOJ officials with leading industry ...

SEC Announces First-Ever Enforcement Actions for “AI Washing”

Delphia told its clients that it would use its algorithm to make “more robust and accurate” investment decisions by inputting its clients' ...

Navigating AI Risks: Key SEC Enforcement Trends

On July 26, 2023, the SEC proposed new requirements to mitigate these risks, including eliminating or neutralizing conflicts of interest related ...

SEC Whistleblower Program Sees Record Year

US Securities and Exchange Commission SEC announced enforcement results for Fiscal Year FY 2023 in financial remedies for a fiscal year record including ...

SEC reports Enforcement stats for fiscal 2023 - Lexology

The SEC has announced its Enforcement stats for fiscal 2023, which revealed that the SEC filed 784 total enforcement actions, up 3% from the ...

Companies Heed SEC Call for Self-Reporting, but Want Clear Perks

Nearly 30% of the SEC's settled enforcement actions with companies in fiscal 2023 credited the entities for cooperating with the agency's ...

Top 5 SEC Enforcement Developments for September 2024

An ESG disclosure settlement relating to the recyclability of K-Cups just before the agency's apparent disbandment of its ESG Task Force; · Civil ...

SEC enforcement against public companies – A recap of 2023

In 2023, the SEC brought several high-profile enforcement cases involving issues other than financial performance, including claims against ...

SEC Enforcement Results Highlight Record Year for Whistleblower ...

On November 14, the U.S. Securities and Exchange Commission (SEC) announced its enforcement results for the 2023 Fiscal Year.

The SEC scored record penalties in fiscal year 2022

The agency has not only committed to pursuing violations wherever and however they occur, the SEC Enforcement Director Gurbir Grewal also ...

2023 Year-in-Review: Developments and Trends in White Collar ...

The Securities and Exchange Commission (SEC) and Department of Justice (DOJ) both accelerated their enforcement efforts in 2023, and seem ...

Regulatory Compliance & Financial Crimes - December 2023 Update

SEC Announces Enforcement Results for Fiscal Year 2023. The SEC filed 784 enforcement actions in FY 2023 (a 3% increase from FY 2022) ...