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Thursday, September 12, 2013

SEC Focuses More on Complex Securities Post-Khuzami

News summary by MFWire's editors

After cases under SEC's former director of enforcement, Robert Khuzami, dry up, Andrew Ceresney, new co-head of enforcement for the SEC zeroes in on topics such as complex securities, financial reporting fraud, micro cap fraud market structure and the implementation of new rules, The Wall Street Journal's Emily Chasan reports.

Those issues have not received much attention during Khuzami's time, when specialized protection units focused on asset management, market abuse, structured products, foreign corrupt practices, municipal securities and public pensions, Chasan writes.

Ceresney was quoted by Chasan as saying he was focused on enforcement of Dodd Frank and complex financial instruments such as derivatives, ETFs, collaterialized loan obligations and credit rating agencies.

To read more, click here

Edited by: Casey Quinlan


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