SEC Enforcement Priorities

12 December 2022


A year into Chairman Gary Gensler’s tenure at the SEC, Cleary Gottlieb lawyers will present on shifts in SEC Enforcement priorities and tactics, particularly as they relate to derivatives. The panel will discuss SEC tactics such as the increasingly sophisticated use of whistleblowers and trading data surveillance, and evolving enforcement priorities, such as the SEC’s focus on disclosures, sales practices, and other policies and procedures related to sales of complex products and trading strategies, with examples involving complex options-based strategies and variable annuities. The panel will also discuss SEC enforcement cases under Reg. BI, trends in market manipulation and insider trading that apply to derivatives, and a round-up of other enforcement actions that are relevant to derivatives, such as valuation cases and the SEC’s potential regulation of index providers.


Host: Natalie Tynan, Assoc. GC, Head of Tech Documentation Strategy, FIA
Speakers: Tom Bednar, Counsel, Cleary Gottlieb Steen & Hamilton
Brandon Hammer, Counsel, Cleary Gottlieb Steen & Hamilton
Brian Morris, Senior Attorney, Cleary Gottlieb Steen & Hamilton
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