Analysis

How Firms Can Prep For A More 'Aggressive' SEC

Law360 (November 24, 2020, 6:41 PM EST) -- With a Joe Biden presidency around the corner and U.S. Securities and Exchange Commission Chairman Jay Clayton officially announcing he'll depart by year-end, industry attorneys believe in-house legal and compliance professionals at financial firms should expect a more aggressive incoming enforcement regime.

Clayton and his enforcement division's focus has been on protecting Main Street investors from malevolent schemes and frauds, noted Matthew C. Solomon, a Cleary Gottlieb Steen & Hamilton LLP partner and the SEC's former chief litigation counsel.

The SEC doled out significant corporate penalties over the past four years, exemplified by a high-profile set of actions against Silicon Valley-based...

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