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SEC执法部门2019年度报告出炉

来源:继民财经汇微信公众号   发布时间:2019-11-07  作者:继民财经汇   编辑:无忧草

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核心提示:在2019财年,SEC采取了862种执法措施的多样化组合,其中包括526项独立行动。这些行动解决了一系列重大问题,包括发行人披露/违反会计规定等问题。

美国证券交易委员会执法部今天发布了其2019财年年度报告。该报告代表投资者详细介绍了该部门的工作和举措,重点介绍了一些重要行动,并从定性和定量角度介绍了该部门的活动。

SEC执法部门2019年度报告出炉

SEC主席杰伊说:“本报告中描述的结果反映了该部门致力于消除可能对投资者和我们的市场造成重大伤害的不当行为,而该部门则侧重于识别不当行为并采取迅速行动以有效地帮助受害投资者,在各种各样的案件中,执法人员在发现和阻止不良行为并制定有意义的补救措施方面继续表现出决心,技巧和体贴。我要感谢该部门的敬业男女同事们,无论是在我们的家庭办公室还是在11个地区办公室,为支持我们的使命和投资者所做的努力。”

与往年一样,该报告以五项核心原则为指导描述了该部门的工作:(1)专注于主要华尔街投资者,(2)专注于个人问责制,(3)紧跟技术变革,(4)采取补救措施,最有效地实现执法目标,以及(5)不断评估资源分配。

SEC执法部联席主管斯蒂芬妮·阿瓦基安(Stephanie Avakian)表示:“该报告显示了我们阐明的原则如何为我们的工作提供了信息,以保护投资者并确保美国证券市场保持世界上最安全和最强大的地位。”

在2019财年,SEC采取了862种执法措施的多样化组合,其中包括526项独立行动。这些行动解决了一系列重大问题,包括发行人披露/违反会计规定;审核员的不当行为;投资咨询问题;证券发行;市场操纵;内幕交易;以及经纪交易商的不当行为。通过这些行动,SEC获得了总计超过43亿美元的罚金和罚款。重要的是,由于执法行动,SEC还向受害投资者返还了约12亿美元。

SEC执法部门2019年度报告出炉

SEC执法部门2019年度报告出炉

SEC执法部门2019年度报告出炉

SEC执法部门2019年度报告出炉

SEC执法部门2019年度报告出炉

SEC执法部门2019年度报告出炉

SEC执法部门2019年度报告出炉

SEC执法部门联席主管史蒂文·佩金(Steven Peikin)表示:“报告中描述的行动和举措反映了我们对调查,诉讼和案件解决的审慎,原则性方法。”“我们为执法人员为使SEC惩治不当行为,阻止未来的不法行为以及为受到伤害的投资者提供救济而所做的工作感到自豪。

以下是通告英文全文

Washington D.C.,Nov.6,2019—

The Securities and Exchange Commission’s Division of Enforcement today issued its annual report for fiscal year 2019.The report details the division’s efforts and initiatives on behalf of investors,highlights several significant actions,and presents the activities of the division from both a qualitative and quantitative perspective.

“The results depicted in this report reflect the division’s focus on rooting out misconduct that can do significant harm to investors and our markets,and the focus the division places on identifying wrongdoing and taking prompt action to effectively help harmed investors,”said SEC Chairman Jay Clayton.“Across a broad array of cases,the Enforcement staff has continued to show determination,sophistication,and thoughtfulness in detecting and deterring bad conduct and crafting meaningful remedies.I thank the dedicated women and men of the division,in our home office and in our 11regional offices,for their efforts in support of our mission and investors.”

As in prior years,the report describes the division’s efforts guided by five core principles:(1)focus on the Main Street investor,(2)focus on individual accountability,(3)keep pace with technological change,(4)impose remedies that most effectively further enforcement goals,and (5)constantly assess the allocation of resources.

“The report shows how the principles we have articulated inform our work to protect investors and ensure that the U.S.securities markets remain the safest and strongest in the world,”said Stephanie Avakian,Co-Director of the SEC’s Division of Enforcement.

In fiscal year 2019,the SEC brought a diverse mix of 862enforcement actions,including 526standalone actions.These actions addressed a broad range of significant issues,including issuer disclosure/accounting violations;auditor misconduct;investment advisory issues;securities offerings;market manipulation;insider trading;and broker-dealer misconduct.Through these actions,the SEC obtained judgments and orders totaling more than $4.3billion in disgorgement and penalties.Importantly,the SEC also returned roughly $1.2billion to harmed investors as a result of enforcement actions.

“The actions and initiatives described in the report reflect our deliberate,principled approaches to investigations,litigation,and case resolutions,”said Steven Peikin,Co-Director of the SEC’s Enforcement Division.“We are proud of the work Enforcement staff did in enabling the SEC to punish misconduct,deter future wrongdoing,and obtain relief for harmed investors.”

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