Search for: "Gurbir Grewal"
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20 Mar 2024, 2:53 pm
” The press release also quotes SEC Enforcement Division Director Gurbir Grewal as saying that as AI-powered tools become more widespread, the agency is “committed to protecting [investors] against those engaged in ‘AI washing,’” adding a note to investment firms that “if you claim to use AI in your investment processes, you need to ensure that your representations are not false or misleading. [read post]
18 Mar 2024, 2:05 pm
Grewal, Director of the SEC’s Division of Enforcement. [read post]
13 Mar 2024, 6:30 am
During the third year of Chair Gary Gensler’s and Director of Enforcement Gurbir Grewal’s leadership, several key enforcement priorities for the SEC impacted and will likely continue to impact businesses across a range of sectors for years to come. [read post]
13 Mar 2024, 6:30 am
During the third year of Chair Gary Gensler’s and Director of Enforcement Gurbir Grewal’s leadership, several key enforcement priorities for the SEC impacted and will likely continue to impact businesses across a range of sectors for years to come. [read post]
29 Feb 2024, 2:21 pm
It is not news that ESG has become a battleground issue, with prominent ESG efforts now facing an anti-ESG backlash. [read post]
6 Feb 2024, 1:46 pm
Grewal, Director of the SEC’s Division of Enforcement. [read post]
5 Feb 2024, 9:01 pm
Grewal, Dir., Div. of Enforcement, U.S. [read post]
1 Feb 2024, 3:30 am
I don’t know the extent to which this materialized, but a couple years ago, Enforcement Director Gurbir Grewal indicated that the Staff and Commission might get more aggressive in requiring admissions as a condition to settlement, meaning that defendants would end up with a one-sided condition of “no deny. [read post]
18 Jan 2024, 9:33 am
It is a point SEC Enforcement Director Gurbir Grewal made loud and clear in the SEC’s announcement of this latest settlement: Whether it’s in your employment contracts, settlement agreements or elsewhere, you simply cannot include provisions that prevent individuals from contacting the SEC with evidence of wrongdoing. [read post]
16 Jan 2024, 2:47 pm
Grewal, Director of the SEC’s Division of Enforcement. [read post]
16 Jan 2024, 12:04 pm
In hyping the award, SEC Director of Enforcement Gurbir Grewal said “the size of today’s award . . . not only incentivizes whistleblowers to come forward with accurate information about potential securities law violations, but also reflects the tremendous success of our whistleblower program. [read post]
16 Jan 2024, 9:08 am
Gurbir S. [read post]
16 Jan 2024, 7:20 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
16 Jan 2024, 7:17 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
17 Dec 2023, 9:03 pm
As Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has said, “You simply can’t ignore the rules because you don’t like them or because you’d prefer different ones: the consequences for the investing public are far too great. [read post]
9 Dec 2023, 6:30 am
(Of course, you might recall that Gurbir S. [read post]
9 Dec 2023, 6:30 am
(Of course, you might recall that Gurbir S. [read post]
5 Dec 2023, 1:42 pm
“That necessitated us bringing this most recent initiative looking at this issue, and whether it continues or not is really going to depend on whether folks change behavior after seeing the slew of cases that we brought and the penalties, too,” SEC Director of Enforcement Gurbir Grewal told the paper. [read post]
19 Nov 2023, 6:30 am
In remarks last week, SEC Director of Enforcement, Gurbir Grewal, noted that, “[w]hile we have not yet released our 2023 fiscal year-end numbers, I can give you a sneak preview: we had another incredibly productive year on behalf of the investing public. [read post]
19 Nov 2023, 6:30 am
In remarks last week, SEC Director of Enforcement, Gurbir Grewal, noted that, “[w]hile we have not yet released our 2023 fiscal year-end numbers, I can give you a sneak preview: we had another incredibly productive year on behalf of the investing public. [read post]
