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Enforcement may be a case study in what not to do
'Clock is ticking,' Chairman warns
'A regulator who always says "no" is not serving investors well,' Peirce says.
'A lot of fees and potential conflicts inherent,' Chairman says
Case another example in importance of delegating compliance authority
Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.
Unproven theory may make firms hostage to P&Ps, side deals
Firm 'continues to lack' compliance infrastructure, regulators claim
Lower standard, burden of proof moves focus upstream
RCW talked to experts about how firms can cut down on their risk of SEC deficiencies or enforcement cases stemming from material, non-public information problems. ...
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