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SEC's Grewal: Expect tough penalties and continued focus on recordkeeping

The SEC brought 784 enforcement actions last year, enforcement director Grewal says the off-channel comms ones go to the heart of his agency's ability to perform its overseer role.

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Julie DiMauro

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Photo: Spencer Platt/Getty Images
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In this weekend’s WSJ, Mengqi Sun spoke with Gurbir Grewal, the SEC’s enforcement division director. Director Grewal talked about his agency’s tough penalties, especially those against repeat offenders. He also specifically brought up his agency’s record fines, levied since December 2021, against 40 firms for their failures to maintain and

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