Top SEC Officials Put Mr. and Ms. 401K at the Forefront but Say No Big Changes to Enforcement to Come

As we move deeper into the Trump administration with few settlements and enforcement actions to indicate what our new regulators are thinking, public statements from enforcement officials are becoming increasingly relevant. At a recent event co-hosted by the Institute for Corporate Governance and Finance, the Program on Corporate Compliance and Enforcement and the Pollack Center for Law & Business at the New York University School of Law, SEC Chair Jay Clayton, along with Stephanie Avakian and Steven Peikin, Co-Directors of the SEC Division of Enforcement, gave some insights on what SEC enforcement may look like going forward. See “DOJ Reiterates Commitment to FCPA Enforcement but Resources May Become an Issue” (Jul. 19, 2017).

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