In Inaugural Public Remarks, SEC Enforcement Director Identifies Key Steps to Promoting Market Integrity: Enforcement Director Gurbir Grewal’s Speech Stresses Importance of ‘Proactive Compliance,’ ‘Proactive Enforcement,’ and Proportional Penalties to Achieving ‘Shared Mission’ of Maintaining Market Integrity and Enhancing Public Confidence in Securities Markets.

Sullivan & Cromwell LLP - October 11, 2021
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On October 6, 2021, Securities and Exchange Commission Division of Enforcement Director Gurbir Grewal made his inaugural public remarks at the Practicing Law Institute’s Broker/Dealer Regulation and Enforcement 2021 event. In his speech, Director Grewal identified three key ways to promote better conduct by market participants and, in turn, promote public confidence in the fairness of the public markets.

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