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An SEC Insider on Insider Trading and Broken Windows

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Content provided by Practising Law Institute. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Practising Law Institute or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ro.player.fm/legal.

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.

  continue reading

124 episoade

Artwork
iconDistribuie
 
Manage episode 384221890 series 3237148
Content provided by Practising Law Institute. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Practising Law Institute or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ro.player.fm/legal.

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.

  continue reading

124 episoade

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