A dialogue with Andrew Ceresney, director of the SEC's Division of Enforcement

Corporate and board regulatory matters

Lead Director Network, December 2015

On October 7, 2015, members of the Lead Director Network (LDN) were joined by chief legal officer and general counsel (GC) guests in Washington, DC, for a discussion with Andrew Ceresney, director of the Division of Enforcement at the Securities and Exchange Commission (SEC).

The SEC’s Division of Enforcement is charged with protecting investors by investigating possible violations of securities laws and prosecuting civil cases in federal courts and administrative proceedings. Mr. Ceresney joined the SEC in 2013 as co-director of the Division of Enforcement and became the sole head of enforcement in 2014.

This ViewPoints provides background information and perspectives that lead directors and GCs shared before and during the meeting on the following topics:

  • SEC enforcement priorities

  • The SEC’s cooperation program