Month

August 2021

The New SEC Enforcement Director: Gurbir Grewal

Within a month of Gurbir Grewal stepping into his new role as the SEC enforcement director, he has already begun to ruffle a few feathers – by fining 27 firms for failing to file the Customer Relationship Summary (CRS) with the SEC. The CRS was put into place a year prior to Grewal’s instatement this July.