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Industry digests 2017 SEC exam priorities

January 31, 2017, Compliance Reporter

David Kornblau is quoted in a Compliance Reporter article regarding industry’s reaction to the SEC’s 2017 examination priorities. “I think everybody is waiting with bated breath to see if the priorities and philosophy of the agency will take a different direction once Clayton and other commissioners are confirmed,” says Kornblau. “We are all in a guessing game at the moment so I would say it is too soon to tell.” 

He adds, “My expectation would be a much greater focus on clear cases of fraud, insider trading and fewer marginal or questionable legal theories as well as possible moderation of corporate penalties” If confirmed, Clayton “may revisit the admissions policy that enforcement has been following the past few years.”

 

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