Industry Report: SEC Enforcement Division Announces Its 2018 Priorities And 2017 Results

Written By Brandon Klerk

The Securities and Exchange Commission’s Division of Enforcement (the “Division”) has published its annual report for fiscal year 2017 (the “Report”). The Report is available at the following link: https://www.sec.gov/files/enforcement-annual-report-2017.pdf. The Report discusses the Division’s key initiatives and results in 20171 and its priorities for 2018.

The five principles that guide the Division’s decision making:

  1. Focus on individual accountability.

  2. Keep pace with technological change.

  3. Impose sanctions that most effectively further enforcement goals.

  4. Constantly assess the allocation of Division resources.

Read the linked Annual Report to learn more.

Brandon Klerk https://www.halyardcompliance.com
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