Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into a recent speech by SEC Commissioner Caroline Crenshaw on a new philosophy in SEC financial penalty enforcement.
Some of the issues we consider are:
- Who is SEC Commissioner Caroline Crenshaw?
- What was the 2006 policy regarding enforcement priorities?
- What changes did Commissioner Crenshaw propose?
- What about the timing of the remarks?
- Is this a response to the Supreme Court decision in Lui?
- What does this mean for compliance officers?
Matt’s blog post on Radical Compliance: