Compliance Fox: SEC Enforcement Manual Spells Out Remediation Roadmap
The US Securities and Exchange Commission (SEC) has updated its enforcement manual for the first time since 2017, giving a clearer playbook on what effective remediation looks like.
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The update highlights concrete steps like disciplining wrongdoers, strengthening controls, clawing back comp, using independent compliance reviews, and preserving communications across all messaging platforms.
Watch the latest Compliance Fox episode to see how companies can implement these measures now to be in a stronger position.
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