Search for: "GURBIR GREWAL"
Results 1 - 20
of 259
Sort by Relevance
|
Sort by Date
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]
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]
