Tag: Steven Peikin
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
Co-Director of Enforcement Steven Peikin to Leave SEC
Co-Director of Enforcement Steven Peikin to Leave SEC August 10, 2020 The SEC has announced that Steven Peikin is leaving the SEC on August 14, 2020. Peikin has served...
August 10, 2020
SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority March 9, 2020 The SEC hopes...
March 09, 2020
Tags: OCIE, Compliance Conference, Peter Driscoll, SEC Enforcement, Steven Peikin
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