New SEC Individual Enforcement Policy Signaling Big Regulatory Shift?Mark Melin
Is a major shift in US regulatory deterrence and punishment for financial crime underway behind the scenes?
SEC sets its sights on individuals
With little fanfare, a new Securities and Exchange Commission (SEC) policy sets its enforcement sights on a new target: individuals. The Wall Street Journal is reporting that the agency is increasingly looking to hold individual compliance officers at hedge funds personally liable . . .
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