Keith E Cassidy and Sanjay Wadhwa, Acting Directors of the SEC’s divisions of Examinations and Enforcement respectively, each recently delivered public remarks on the last year of agency activity. Wadhwa spoke at the Securities Enforcement Forum, and Cassidy spoke at the National Compliance Outreach Seminar, both in Washington DC.
Acting SEC directors reflect on an unprecedented year
Topics included outreach efforts, enforcement actions, and the benefits of cooperation.