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Editors’ Note:  This is the first in our start-of-year series examining important trends in white collar law and investigations in the coming year.  Up next:  a look at trends in health care enforcement.  Look for additional posts throughout the month of January. As we look towards the SEC Division of Enforcement’s agenda for 2020, the cases it filed in 2019, the public statements of the Commissioners and Enforcement’s senior officials, and the Division’s annual report provide useful…
On November 6, 2019, the SEC Division of Enforcement published its annual report for fiscal year 2019. The report provides valuable insight, not only as to the Division’s performance over the past year, but also about its current priorities and where it will be focused in the near-term future. Overall, Enforcement’s program since 2017, when SEC Chairman Jay Clayton assumed leadership of the agency, has been shaped by five “core principles”: (1) focus on…