The SEC’s Kara Brockmeyer Answers Hot-Button Enforcement Questions

Are DOJ and SEC enforcement efforts taking different paths?  Will the SEC, like the DOJ, be issuing formal guidance emphasizing a focus on individuals?  Does the SEC plan to continue relying heavily on administrative proceedings?  During a recent panel at the Securities Enforcement Forum, Kara Brockmeyer, Chief of the SEC’s FCPA Unit of the Division of Enforcement, addressed these and other hot topics.  See also “FCPA Corporate Settlements of 2014: Details, Trends and Compliance Takeaways,” The FCPA Report, Vol. 4, No. 2 (Jan. 21, 2015).

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