An SEC Insider on Insider Trading and Broken Windows
inSecurities
English - November 16, 2023 17:45 - 44 minutes - 61 MBNews Business Non-Profit Homepage Download Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: A Busy Day at the Securities Enforcement Forum
Vinson & Elkins partner Rebecca Fike joins the inSecurities podcast to talk about insider trading, the SEC’s use of artificial intelligence and data analytics to root out misconduct, and the Enforcement Division’s focus on reporting and disclosure cases, including Environmental, Social, and Governance (ESG) reporting. She also explains how the Commission’s focus on charging even technical violations feels a bit like the return of the “broken windows” approach to enforcement. Rebecca draws on her 10 years of experience in the Division of Enforcement to explain what captures the staff’s attention and how they investigate.