The SEC has trebled the number of cases leveled against asset managers, broker-dealers and public companies in the last six months, reigniting its enforcement activities. A FundFire article titled “SEC Ramps Up Enforcement Actions” includes insights from investment management counsel David Tittsworth. Separately, in an ACA Insight piece published on Oct. 22 titled “SEC’s Five-Year Strategic Plan Focuses on Retail Investors, Innovation and More” Mr. Tittsworth discusses the SEC’s final Five-Year Strategic Plan, which focuses on retail investors, innovation and cybersecurity, among other areas, while retaining specific initiatives from past plans focusing on enforcement and examinations.
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