SEC’s Top Enforcement Cop Plans to Focus More on Financial Fraud

Haima Marlier spoke with Barron’s about the SEC’s shifting enforcement priorities, as the agency focuses more heavily on financial fraud and individual accountability. Following significant staff reductions and a sharp decline in enforcement actions, the SEC is increasing activity in areas including accounting and disclosure fraud, private fund abuses, cross-border misconduct, and retail investor fraud. Haima noted that year-end enforcement figures remain uncertain, saying, “The last month of each fiscal year tends to see a rush of cases filed.”

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