- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The U.S. Supreme Court's ruling in the case Kokesh v. SEC was a significant decision that has already had an impact on many parts of the Securities and Exchange Commission's enforcement program, according to a senior SEC enforcement official.
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The U.S. Supreme Court reaffirmed the SEC’s authority to recoup profits obtained from fraudulent schemes but limited the scope of what can be sought through disgorgement.
The Supreme Court will hear arguments this week in cases that question whether the current structure of the CFPB is constitutional, and whether to curb the SEC’s power to return funds to fleeced investors.
The Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.
