Search for: "Gurbir Grewal"
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3 Jun 2024, 3:55 am
Recently, at the Securities Enforcement Forum West 2024 program, SEC Enforcement Director Gurbir Grewal addressed the topic again in a speech titled “The Five Principles of Effective Cooperation with the SEC. [read post]
2 Jun 2024, 9:01 pm
This event, together with its East Coast and now Midwest counterparts, offers regulators like me a unique opportunity to speak directly to leaders of the securities bar about issues of mutual concern. [read post]
23 May 2024, 7:11 am
“When it comes to cybersecurity, especially events at critical market intermediaries, every second counts and four days can be an eternity,” said SEC Enforcement Director Gurbir Grewal. [read post]
23 May 2024, 3:00 am
” The SEC’s press release has this to say in a quote by Enforcement Director Gurbir Grewal: Under Reg SCI, [intermediaries] have to immediately notify the SEC of cyber intrusions into relevant systems that they cannot reasonably estimate to be de minimis events right away. [read post]
22 May 2024, 8:30 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
8 May 2024, 8:31 am
Director Grewal’s Warning On April 15, 2024, SEC Enforcement Director Gurbir Grewal touched on AI washing during his remarks at the 10th Annual Program on Corporate Compliance and Enforcement in New York City. [read post]
3 May 2024, 8:11 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
3 May 2024, 8:05 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
2 May 2024, 4:37 pm
More recently, SEC Enforcement Director Gurbir Grewal warned about the potential for AI-washing to mislead investors, harm consumers, and violate the securities laws. [read post]
25 Apr 2024, 9:05 pm
Overarching Enforcement Environment Gurbir Grewal, Director of the Enforcement Division, kicked off the conference with a keynote speech addressing the overarching enforcement landscape. [read post]
19 Apr 2024, 9:36 am
According to SEC Enforcement Director Gurbir Grewal, firms should “self-report, cooperate and remediate. [read post]
18 Apr 2024, 9:01 pm
One of the hallmarks of PCCE is that it brings together academics, regulators, and industry professionals, and allows us to have candid conversations about corporate misconduct and the ways in which we can all work together to improve compliance. [read post]
18 Apr 2024, 6:09 am
By John Filar AtwoodCrypto and SPACs are recent examples of where intense interest in an emerging technology or product increased investor risk, sometimes with disastrous results, and should put companies and investors on notice about AI, according to SEC Enforcement Director Gurbir Grewal. [read post]
18 Apr 2024, 4:05 am
SEC Enforcement Director Gurbir Grewal has now weighed in on how companies can use “proactive compliance” to avoid AI washing problems, in a speech at the Program on Corporate Compliance and Enforcement Spring Conference 2024. [read post]
14 Apr 2024, 9:01 pm
The SEC released a statement from Division of Enforcement Director Gurbir Grewal that the case was “nothing novel” and was instead “insider trading, pure and simple. [read post]
14 Apr 2024, 4:46 pm
" The Director of the SEC's Division of Enforcement, Gurbir S. [read post]
10 Apr 2024, 7:02 am
Grewal highlighted the consequences of lack of registration and compliance. [read post]
9 Apr 2024, 3:12 am
Here’s SEC Director of Enforcement Gurbir Grewal’s statement on the jury’s decision: “As we’ve said all along, there was nothing novel about this matter, and the jury agreed: this was insider trading, pure and simple. [read post]
3 Apr 2024, 9:01 pm
Whether you’re here in person or participating virtually from around the country, or even overseas, I thank you for joining us. [read post]
22 Mar 2024, 2:20 am
Indeed, SEC Enforcement Director Gurbir Grewal confirmed as much in remarks made at the annual gathering of securities practitioners hosted by the Securities Industry and Financial Markets Association (SIFMA), where he called attention to the AI washing cases on the very day they were announced. [read post]
