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XLoD London 2023: What the SEC means by proactive compliance

Montage of Canary Wharf, London.
GRIP Montage: Getty Images

In this session, Lindsay Moilanen, Assistant Regional Director at the SEC, outlined the Commission’s current priorities.

Moilanen started by emphasizing the theme of robust enforcement. She encouraged proactive compliance, and she warned that penalty amounts were being recalibrated to ensure that those falling foul of enforcement do not just view fines as a natural cost of doing business.

The SEC views enforcement as a very important