MFDF - Mutual Fund Directors Forum - SEC Enforcement Director to Leave SEC test

Member Login



Request an account

Sample Banner 2

SEC Enforcement Director to Leave SEC

The SEC has announced that Enforcement Director Robert Khuzami will leave the agency after nearly four years in the position. During Mr. Khuzami’s tenure, the Enforcement Division filed many actions connected to the financial crisis and brought record numbers of cases involving insider trading and misconduct by investment advisers and investment companies.  Under Mr. Khuzami’s leadership, the Enforcement Division filed its most-ever cases in fiscal years 2011 and 2012 following the most significant restructuring in agency history that sought to streamline procedures and expedite investigations.

Additional information about his tenure and cases brought under his direction are available here.

 
 
  • 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)