Ethicast: Why the SEC is “Going Back to Basics”

Between federal regulatory shifts and Executive Orders, the ways in which companies can expect to be held accountable for misconduct are undergoing substantial change—or at the very least, significant clarification.  

Baker McKenzie partner and former SEC assistant regional director Peter Chan recently spoke with Kate Zoladz, Deputy Director (West) of the Enforcement Division of the SEC, and shares his valuable insights from that conversation around the SEC’s current enforcement priorities.  

Hear about:  

• A pivot “back to basics,” away from novel legal theory prosecutions  

• A new focus on rewarding cooperation and remediation 

• The SEC’s era of “broken windows” enforcement is over 

• Will the SEC bring new FCPA enforcements?