How do securities investigations start?
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.
