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SEC Chair Reaffirms Commitment to Gatekeeper Enforcement

In a recent speech, SEC Chair Mary Jo White reiterated her commitment to enforcement as a “critical component” of the agency’s investor protection mission.  In describing the SEC’s recent enforcement activities, she specifically mentioned the SEC’s actions against gatekeepers.  She stated that the agency has renewed its focus on “attorneys, accountants, auditors, fund directors, and other board members and professionals who play a critical role in the securities industry and share the responsibility with regulators to protect investors.”  She pledged that that SEC would continue to pursue such cases “to ensure that gatekeepers understand their special duties and responsibilities, and that they will be held accountable if they do not safeguard the interests of investors as they are obligated by law to do.”

 

 
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