Aggregated News From Investment Management Regulators

A SCOTUS Win for the SEC on Disgorgement?

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In a decision of consequence to securities industry participants, the U.S. Supreme Court just answered a long-unresolved question and ruled, in Liu v. Securities and Exchange Commission, that the U.S. Securities and Exchange Commission could ask courts to order disgorgement of ill-gotten gains. In doing so, the Supreme Court affirmed and at the same time, to some extent, circumscribed the SEC’s federal enforcement powers in civil proceedings.

Read the full article from Kleinberg Kaplan here: https://www.kkwc.com/insights/a-scotus-win-for-the-sec-on-disgorgement/

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