Search for: "Gurbir Grewal"
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5 Nov 2021, 11:31 am
Grewal, the SEC’s Director of Enforcement. [read post]
22 Sep 2023, 2:53 pm
” Initial press reports indicate that former New Jersey Attorney General Gurbir Grewal was named in the indictment of U.S. [read post]
23 May 2022, 1:00 am
” Director of the SEC’s Division of Enforcement Gurbir Grewal said: When SEC registrants like Wells Fargo Advisors fail to comply with their AML [anti-money laundering] obligations, they put the investing public at risk because they deprive regulators of timely information about possible money laundering, terrorist financing, or other illegal money movements. [read post]
22 Dec 2021, 5:09 am
” The Director of the Division of Enforcement, Gurbir Grewal, described FY 2021 as a year with “a number of critically important and first-of-their-kind enforcement actions. [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]
17 Feb 2022, 6:01 am
This has also been a theme in recent speeches by Chair Gary Gensler and the SEC’s Director of the Enforcement Division, Gurbir Grewal, making clear that under the stewardship of Chair Gensler, the SEC and its staff will be focused on the activities of private fund advisers in the near term. [read post]
30 May 2023, 2:41 pm
Grewal, Director of the SEC’s Division of Enforcement, in a press release announcing the record award. [read post]
28 Jun 2019, 11:31 am
Grewal. [read post]
20 Nov 2021, 4:30 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
29 Sep 2023, 9:00 am
Grewal, Director of the SEC’s Division of Enforcement. [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]
5 Dec 2024, 2:15 am
Even though SEC Enforcement Director Gurbir Grewal left the SEC in early October, shortly after the agency’s fiscal year end, we are continuing to see activity. [read post]
5 May 2023, 8:53 am
Grewal, Director of the SEC’s Division of Enforcement. [read post]
8 Dec 2022, 6:30 am
Nonetheless, Enforcement Division Director Gurbir S. [read post]
8 Dec 2022, 6:30 am
Nonetheless, Enforcement Division Director Gurbir S. [read post]
3 Apr 2019, 8:57 am
New Jersey’s Attorney General Gurbir Grewal released a statement regarding the agreements, saying “I am glad that Arby’s, Little Caesar, Five Guys and Dunkin’ now recognize the unfairness of no-poach agreements and will stop using them, and I am proud of the multistate investigation that led to their change of heart. [read post]
21 Jun 2022, 6:30 am
SEC Enforcement Director Gurbir Grewal has, however, indicated an increased emphasis on gatekeeper accountability in order to restore public trust in the market. [3] Nonetheless, given the Commission’s existing authority to impose discipline under its Rules of Practice, practitioners should be mindful of the potential for increased scrutiny moving forward. [read post]
27 Sep 2022, 3:15 am
There are few things that excite SEC Enforcement more than shady SPACs and related party transactions – and this enforcement action follows remarks by Enforcement Division Director Gurbir Grewal a year ago where he emphasized gatekeeper accountability. [read post]
30 Jun 2021, 9:10 am
” New Jersey Attorney General, Gurbir Grewal, said, “We’re disappointed by today’s SCOTUS ruling on the PennEast pipeline, but our fight is far from over. [read post]
9 Jul 2019, 6:01 pm
The Press Release states: Attorney General Gurbir S. [read post]
