605
Downloads
11
Episodes
Join hosts, Michael Loesch and Brendan Quigley for the Enforcement Insider, the podcast providing quick hits on the latest trends and developments in investigations and enforcement matters impacting the energy markets and energy market participants. Your hosts truly are insiders. Brendan led numerous complex investigations during his seven years as an Assistant United States Attorney in the Southern District of New York and Michael spent more than 14 years of his career in federal regulatory and legislative service, holding senior leadership positions at both the CFTC and the SEC. Their experience brings valuable insights and provides real-world tips for mitigating risks and addressing key compliance and investigation challenges.
Episodes
Friday Dec 08, 2023
Friday Dec 08, 2023
Recently the SEC, the CFTC, and FINRA have all brought enforcement actions against compliance officers. In addition, SEC Enforcement Director Gurbir S. Grewal gave a speech back in October at the New York City Bar Compliance Institute in which he discussed at some length, the criteria, the SEC uses to decide whether to bring enforcement actions against CCOs. Hosts Michael Loesch and Brendan Quigley discuss whether they think compliance officers are back in the crosshairs.