MFDF - Mutual Fund Directors Forum - SEC Enforcement Activity Down So Far in 2016 test

Member Login



Request an account

Sample Banner 1

SEC Enforcement Activity Down So Far in 2016

A recent study finds that SEC enforcement activity through the third quarter of 2016 has declined 8 percent from 2015 levels.  While the study concedes that most enforcement actions are filed during the fourth quarter, the 299 that would be necessary to match 2015 levels would be unprecedented. 

The survey finds that 15% of all enforcement actions filed this year have been accounting related.  Additionally, the SEC continues to favor administrative proceedings, filing 81% of enforcement cases in administrative court.  Through three quarters in 2016, “follow on” administrative proceedings accounted for 23% of all enforcement activity, an increase from 16% in 2015.  Follow on proceedings are not new activity, but instead are “administrative proceedings seeking bars against individuals based on criminal convictions, civil injunctions, or other orders.”

 
  • All
  • Accounting and Audit
  • Advisory Contracts
  • Board Governance
  • Board Governance: Board Leadership
  • Board Governance: Compensation
  • Board Governance: Oversight of CCO
  • Board Governance: D&O Insurance
  • Board Governance: Self-Evaluation
  • Closed-end Funds
  • ETFs
  • Other Oversight
  • Other Oversight: Alternative Investments and Derivatives
  • Other Oversight: Custody
  • Other Oversight: Fixed Income funds
  • Other Oversight: Distribution
  • Other Oversight: Portfolio Trading
  • Other Oversight: Proxy Voting
  • Other Oversight: Securities Lending
  • Legislative News
  • Money Market Funds
  • Reference
  • Regulatory News
  • Risk
  • Shareholder Disclosure
  • Valuation
  • Webinars
  • Aaron New Tag

SHOWING 0 TO 0 OF 0 ENTRIES (FILTERED FROM 0 TOTAL ENTRIES)