2015 CCLS Compliance End-Of-Year Checklist Update

On November 18, 2015, SEC Chair Mary Jo White gave testimony to the Committee on Financial Services, outlining the various steps the SEC has been taking and what they plan on doing going forward in regards to the financial markets and financial services industry.

 Chair White informed the Committee that the SEC's enforcement program "continued to deliver very strong results," which totaled to 807 enforcement actions with sanctions of $4.2 billion for the 2015 fiscal year. 

To read more, click here.