The Securities and Exchange Commission (SEC) recently announced that, for fiscal year 2023, it filed more total and original (“standalone”) enforcement actions than it did in 2022. The SEC’s Nov. 14 filing, detailing its 2023 enforcement actions, illustrated another busy year for the Division of Enforcement (DoE). Among the year’s highlights: ➡️ 784 total enforcement actions ➡️ Orders for $4.95 billion in financial remedies ➡️ $930 million distributed to harmed investors in 2023 Learn more: https://lnkd.in/eKqsfK83 #AdviserComplianceConsulting #SEC #financialcompliance #financialservices #compliance
