SEC's Record-Setting Year: Behind The Stats

Law360, New York (December 13, 2011, 2:44 PM EST) -- With significant publicity, the U.S. Securities and Exchange Commission announced in November that it had filed the most enforcement actions in a single year in SEC history. For the fiscal year ending Sept. 30, 2011, the SEC stated it filed a record 735 enforcement actions, with more than $2.8 billion in penalties and disgorgement ordered.[1]

The SEC partially credited this performance to the Enforcement Division’s “strengthened” capacity resulting from significant recent reforms — reforms such as flattening the Enforcement Division management structure, revamping processes for handling...
To view the full article, register now.

UK Financial Services

UK Financial Services

Read Our Latest UK Financial Services Coverage

Financial Services Law360 UK provides breaking news and analysis on the financial sector. Coverage includes UK and European Union policy, enforcement, and litigation involving banks, asset management firms, and other financial services organizations.