Year: 2019

Internal controls have been a key theme for the Enforcement Division in recent months. Last fall for example, the Division issued a section 21(a) report discussing internal controls based on a series of cyber-security investigations. That discussion was grounded in …

A Continuing Focus On Internal Controls: SEC Files 4 ICFR Actions Read More »

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The Commission did not spend a lot of time getting reoriented to being at the office. The first day back on the job the agency completed the resolution of a year old Ponzi scheme case that had raised about $1.2 …

SEC Returns With a Bang – A $1 Billion Judgement Read More »

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