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Robert Khuzami speaks: on his first 100 days as division director, and the future of the enforcement division

Nader H. Salehi (Partner, Bingham McCutchen LLP, New York, New York, USA)
Gerald J. Russello (Of Counsel, Broker‐Dealer, Bingham McCutchen LLP, New York, New York, USA)
Vincent Hull (Associate, Litigation, all at Bingham McCutchen LLP, New York, New York, USA)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 20 November 2009

88

Abstract

Purpose

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The purpose of this paper is to explain new initiatives announced by SEC Division of Enforcement Director Robert Khuzami on August 5, 2009 as Phase I of the division's self‐assessment.

Design/methodology/approach

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The paper outlines five initiatives: creating specialized units; creating an Office of Market Intelligence; streamlining the Division's management structure; fostering cooperation by individuals in staff investigations, and using the Division's resources more strategically in areas such as mortgages and the credit crisis, Ponzi schemes, and cross‐market misconduct.

Findings

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The Division expects the structural and process changes to make the enforcement staff more nimble and effective.

Originality/value

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The paper offers practical guidance by experienced securities lawyers.

Keywords

Citation

Salehi, N.H., Russello, G.J. and Hull, V. (2009), "Robert Khuzami speaks: on his first 100 days as division director, and the future of the enforcement division", Journal of Investment Compliance, Vol. 10 No. 4, pp. 6-9. https://doi.org/10.1108/15285810911007327

Publisher

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Emerald Group Publishing Limited

Copyright © 2009, Emerald Group Publishing Limited

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