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New direction for SEC Enforcement?

Monday, December 24, 2012

News agencies are reporting that Robert Khuzami, the Director of the SEC Division of Enforcement, is leaving the SEC. According to the reports, this has not been confirmed by Mr. Khuzami but it could happen as soon as next month. Does this mean the SEC will be looking for an even tougher Director of Enforcement? Click here for one article discussing his alleged departure.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.

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