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The weekly news source for investment management legal and compliance professionals

News October 1, 2018 Issue

SEC Enforcement Co-Director: Success Should Not be Measured by Statistics Alone

Most years for the past several years, the number of enforcement actions brought by the SEC’s Division of Enforcement have generally increased year after year. The implicit message inferred by at least some observers was that the agency saw “more” as an indication of success. Now, with a new team running the agency, that may now no longer be the case.

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