20 Jun 2025
⚖️SEC Policy on Criminal Enforcement Directly Affects Businesses
Policy Statement Concerning Agency Referrals for Potential Criminal Enforcement
Summary
Pursuant to Executive Order 14294, the Securities and Exchange Commission ("Commission") is publishing this framework for staff consideration of whether to refer potential violations, including of criminal regulatory offenses, to the Department of Justice.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The SEC’s new policy on criminal regulatory offenses requires businesses to be vigilant regarding compliance with federal regulations, as violations may lead to criminal referrals to the Department of Justice. Business owners must evaluate their compliance frameworks to mitigate risks of enforcement actions.