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How do securities investigations start?

Posted on January 27, 2017 by admin

Close-up of a needle in a haystack.  Focus is on the eye of the needle.

Understanding what goes into regulatory processes for enforcing securities law is of interest to regulators of all kinds as well as regulated firms. In a wide ranging “Conversation” between Howard Kaplan from the SEC’s Division of Enforcement and Chris Taylor, from P3 Systems, the data centric aspect of these issues were addressed in a webinar hosted by XBRL US on Wednesday. Although aspects are US-centric, there are many lessons for anyone involved in submitting (or receiving) structured data to relevant authorities and markets. Catch up with it here.

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