A Punch in the Face to SEC Enforcement?

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? Resources Matt’s blog post on Radical Compliance: SEC Enforcement Speech, Umm Wow  2006 SEC Enforcement Policy Statement Learn more about your ad choices. Visit megaphone.fm/adchoices

Om Podcasten

What happens when two compliance aficionados get together to talk all things compliance, risk management and ERM? You get Tom Fox, the Voice of Compliance and Matt Kelly, the Coolest Guy in Compliance, going into the weeds of a topic each week. Each week, you can take a deep dive with two of the top writers, thinkers and prognosticators in compliance.