Tag: gatekeepers

From the beginning the purpose of the federal securities laws has been to bring a new ethics to the marketplace. For years the statutes have been interpreted in a flexible manner to help achieve the new ethics goal. Indeed, the …

EY Pays $100 Million Based on Years of Unethical Conduct Read More »

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The access or gatekeeper theory is a stable of SEC Enforcement. Tracing to the earliest days of the Division of Enforcement, the theory posits that market professionals have an obligation to help protect the markets and investors by properly carrying …

The Access or Gatekeeper Theory Read More »

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