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SEC’s corruption penalties jump in 2021; billions in disgorgement and fines recorded

Image: Securities & Exchange Commission

By Dan Byrne for AMLi

Fines, penalties, and sanctions from the US Securities Exchange Commission have increased by 7% this year, new data has shown.

In the twelve months to 1st October 2021, the SEC filed 697 enforcement actions that it said spanned “the entire securities waterfront,” – covering wrongdoings in areas like crypto, corporate senior management, and market fixing.

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