Back to Basics in SEC Enforcement | Material Matters with SEC Chairman Paul Atkins
Enforcement priorities set the expectations advisors and compliance teams plan around, and this episode lays out how the SEC's Enforcement Division describes its own focus. The description notes the episode was recorded before an executive order changing federal terminology from AI to SI.
Summary
By our deskEpisode 5 of the SEC's Material Matters podcast features Chairman Paul Atkins in conversation with David Woodcock, Director of the Division of Enforcement, about the Division's stated return to basics. They describe a focus on fraud and real investor harm, cooperation with law enforcement partners in the U.S. and abroad, and efforts against schemes using social media, crypto and AI. The discussion also covers using technology to make enforcement faster and more effective.
- The Division describes getting back to basics by focusing on fraud and real investor harm.
- Enforcement staff cite collaboration with law enforcement partners at home and abroad.
- New schemes involving social media, crypto and AI are named as a target area.
- The Division says it is using technology to make enforcement faster and more effective.
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