Ten Trends in SEC Enforcement Actions

Click on the following link for the article: corpgov.law.harvard.edu

Dave Tate, Esq. comments. Here is a worthwhile, detailed article by Jonathan N. Eisenberg, K&L Gates LLP, posted in the Harvard Law School Forum on Corporate Governance and Financial Regulation. I would add an increased emphasis on personal responsibility, but it’s too early to determine the extent to which the SEC is going to push on this. See also http://wp.me/p75iWX-q for the January 3, 2016, updated Tate’s Excellent Audit Committee Guide (183 pages).

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