5 Takeaways From the SEC's 2023 Enforcement Report

5 Takeaways From the SEC's 2023 Enforcement Report | Barron's

The SEC says it brought 784 total enforcement actions in fiscal 2023, which translated into more than $4.9 billion in penalties, the second ...

Takeaways from the SEC Division of Enforcement's FY 2023 Report

FY23 was another active year in terms of SEC enforcement, with a 3 percent increase in total enforcement actions from FY22.

Takeaways from the SEC Division of Enforcement's FY 2023 Report

FY23 was another active year in terms of SEC enforcement, with a 3 percent increase in total enforcement actions from FY22. The total monies ...

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 ...

Key Takeaways from Recent SEC Cybersecurity Enforcement Actions

Takeaways · Cybersecurity continues to be an enforcement priority for the SEC. · The SEC's recent cybersecurity settlements reinforce the ...

Lessons Learned from Recent SEC Enforcement Actions

As noted in our “Lessons Learned” section below, the recent SEC actions suggest a shift in enforcement approach, from targeting more egregious ...

Key highlights from the SEC 2023 enforcement report - Baker Tilly

The 2023 actions resulted in $4.95 billion in financial remedies, including $3.37 billion in disgorgement and $1.58 billion in civil penalties.

Client Alert: Key Takeaways from the SEC's Latest Enforcement ...

Each of the settlements noted that the companies had undertaken remediation measures, including changing relevant agreements and notifying ...

7 takeaways from the SEC's $5B enforcement year

Marketing and social media infractions, off-channel texting on WhatsApp and other messaging services and cryptocurrency scams all topped the SEC's list of ...

SEC Enforcement: 2023 Year in Review

SEC Enforcement: 2023 Year in Review · Aggressive Positions Lead to Increased Penalties: The SEC obtained a near record amount of $4.9 billion in ...

2023 Year-End Securities Enforcement Update - Gibson Dunn

[3] The SEC brought 62 stand-alone actions against investment advisers (17% of actions in 2023) reflecting a sustained focus on investment ...

Latest Wave of SEC Off-Channel Communications Enforcement ...

Latest Wave of SEC Off-Channel Communications Enforcement Actions: Five Takeaways · The orders give only scant guidance as to the types of ...

SEC Announces Record-Setting Enforcement Results for Fiscal ...

Key Takeaways from FY 2023 and Early Observations for FY24 · Cybersecurity. The agency has steadily increased the magnitude and scope of ...

Continued SEC Enforcement Sweep Leads to $3.8 Million in ...

... 5, with penalties amounting to more than $3.8 million in total. These charges represented a continuation of the SEC's September 2023 enforcement ...

SEC Enforcement: 5 Takeaways from "SEC Speaks" - Perkins Coie

Here's a Client Update that lists five takeaways from the SEC Enforcement Staff at the recent PLI "SEC Speaks" conference.

“The Five Principles of Effective Cooperation in SEC Investigations ...

[5] That benefits all parties to an enforcement investigation. For one, timely investigations and resolutions address misconduct, protect ...

SEC Enforcement Heats up on Key Public Company Topics

These include enforcement actions related to cybersecurity incident disclosure, director independence and Regulation Fair Disclosure ("Reg FD") ...

Trends in SEC enforcement actions - PwC Viewpoint

In its fiscal year ended September 30, 2023, the SEC actively pursued close to 800 enforcement actions against individuals and corporations for ...

SEC Touts Gains in Enforcement Actions in 2023 - Intelligize

The SEC filed almost 800 enforcement actions in 2023, an increase of 3% from 2022. They included roughly 500 stand-alone actions, up 8% from the ...

Trio of SEC Enforcement Actions Underscores Importance of Internal ...

Weak internal controls lead to bigger problems than the SEC: This is not to say that these companies got off easy just because the SEC went ...