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The decline coincided with the continued coronavirus pandemic and a transition to Democratic leadership.</p><p><blockquote>根据纽约大学和Cornerstone Research汇编的数据，截至9月30日的一年里，美国最高市场监管机构对上市公司和子公司提起了53起执法行动，比前五年平均水平低32%，也是2014年以来的最低水平。这种下降与持续的冠状病毒大流行和向民主党领导层的过渡相吻合。</blockquote></p><p> Enforcement activity tends to fall the year a new chair takes the helm at the agency. SEC chair Gary Gensler, known for being tough on Wall Street, joined the agency in mid-April.</p><p><blockquote>执法活动往往会在新主席执掌该机构的那一年下降。以对华尔街强硬著称的SEC主席加里·詹斯勒(Gary Gensler)于四月中旬加入该机构。</blockquote></p><p> While there are signs the agency is taking an increasingly aggressive posture with Wall Street and corporate America, the SEC's enforcement director earlier this month warned the agency's fiscal 2021 numbers would show a decline in enforcement activity.</p><p><blockquote>尽管有迹象表明该机构对华尔街和美国企业界采取了越来越咄咄逼人的姿态，但SEC的执法主管本月早些时候警告称，该机构2021财年的数据将显示执法活动下降。</blockquote></p><p> Monetary settlements imposed in public company or subsidiary actions totaled $1.8 billion, with $835 million from disgorgement and interest, Wednesday's report showed.</p><p><blockquote>周三的报告显示，上市公司或子公司诉讼中强制执行的货币和解总额为18亿美元，其中8.35亿美元来自没收和利息。</blockquote></p><p> For the first time in a decade, there were no public company or subsidiary defendants who admitted guilt, the report showed, something SEC officials have signaled in recent weeks will become more of a priority.</p><p><blockquote>报告显示，十年来首次没有上市公司或子公司被告承认有罪，SEC官员最近几周表示，这将成为更重要的优先事项。</blockquote></p><p></p>","collect":0,"html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>U.S. SEC enforcement against public companies fell to 7-yr low in FY2021: report<blockquote>报告称，2021财年美国SEC对上市公司的执法力度降至7年来的最低点</blockquote></title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 12.5px; color: #7E829C; margin: 0;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\nU.S. SEC enforcement against public companies fell to 7-yr low in FY2021: report<blockquote>报告称，2021财年美国SEC对上市公司的执法力度降至7年来的最低点</blockquote>\n</h2>\n<h4 class=\"meta\">\n<p class=\"head\">\n<strong class=\"h-name small\">Reuters</strong><span class=\"h-time small\">2021-11-17 23:06</span>\n</p>\n</h4>\n</header>\n<article>\n<p>The U.S. Securities and Exchange Commission's enforcement actions against public companies fell to a seven-year low in the 2021 fiscal year, even as monetary settlements rose slightly, according to research published on Wednesday.</p><p><blockquote>根据周三公布的研究，美国证券交易委员会对上市公司的执法行动在2021财年降至七年来的最低点，尽管货币结算略有上升。</blockquote></p><p> The top U.S. markets regulator filed 53 enforcement actions against public companies and subsidiaries in the year ended September 30, 32% below the prior five-year average and the lowest level since 2014, according to data compiled by New York University and Cornerstone Research. The decline coincided with the continued coronavirus pandemic and a transition to Democratic leadership.</p><p><blockquote>根据纽约大学和Cornerstone Research汇编的数据，截至9月30日的一年里，美国最高市场监管机构对上市公司和子公司提起了53起执法行动，比前五年平均水平低32%，也是2014年以来的最低水平。这种下降与持续的冠状病毒大流行和向民主党领导层的过渡相吻合。</blockquote></p><p> Enforcement activity tends to fall the year a new chair takes the helm at the agency. SEC chair Gary Gensler, known for being tough on Wall Street, joined the agency in mid-April.</p><p><blockquote>执法活动往往会在新主席执掌该机构的那一年下降。以对华尔街强硬著称的SEC主席加里·詹斯勒(Gary Gensler)于四月中旬加入该机构。</blockquote></p><p> While there are signs the agency is taking an increasingly aggressive posture with Wall Street and corporate America, the SEC's enforcement director earlier this month warned the agency's fiscal 2021 numbers would show a decline in enforcement activity.</p><p><blockquote>尽管有迹象表明该机构对华尔街和美国企业界采取了越来越咄咄逼人的姿态，但SEC的执法主管本月早些时候警告称，该机构2021财年的数据将显示执法活动下降。</blockquote></p><p> Monetary settlements imposed in public company or subsidiary actions totaled $1.8 billion, with $835 million from disgorgement and interest, Wednesday's report showed.</p><p><blockquote>周三的报告显示，上市公司或子公司诉讼中强制执行的货币和解总额为18亿美元，其中8.35亿美元来自没收和利息。</blockquote></p><p> For the first time in a decade, there were no public company or subsidiary defendants who admitted guilt, the report showed, something SEC officials have signaled in recent weeks will become more of a priority.</p><p><blockquote>报告显示，十年来首次没有上市公司或子公司被告承认有罪，SEC官员最近几周表示，这将成为更重要的优先事项。</blockquote></p><p></p>\n<div class=\"bt-text\">\n\n\n<p> 来源：<a href=\"https://www.reuters.com/world/us/us-sec-enforcement-against-public-companies-fell-7-yr-low-fy2021-report-2021-11-17/\">Reuters</a></p>\n<p>为提升您的阅读体验，我们对本页面进行了排版优化</p>\n\n\n</div>\n</article>\n</div>\n</body>\n</html>\n","type":0,"thumbnail":"","relate_stocks":{},"source_url":"https://www.reuters.com/world/us/us-sec-enforcement-against-public-companies-fell-7-yr-low-fy2021-report-2021-11-17/","is_english":true,"share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","article_id":"1187914090","content_text":"The U.S. Securities and Exchange Commission's enforcement actions against public companies fell to a seven-year low in the 2021 fiscal year, even as monetary settlements rose slightly, according to research published on Wednesday.\nThe top U.S. markets regulator filed 53 enforcement actions against public companies and subsidiaries in the year ended September 30, 32% below the prior five-year average and the lowest level since 2014, according to data compiled by New York University and Cornerstone Research. The decline coincided with the continued coronavirus pandemic and a transition to Democratic leadership.\nEnforcement activity tends to fall the year a new chair takes the helm at the agency. SEC chair Gary Gensler, known for being tough on Wall Street, joined the agency in mid-April.\nWhile there are signs the agency is taking an increasingly aggressive posture with Wall Street and corporate America, the SEC's enforcement director earlier this month warned the agency's fiscal 2021 numbers would show a decline in enforcement activity.\nMonetary settlements imposed in public company or subsidiary actions totaled $1.8 billion, with $835 million from disgorgement and interest, Wednesday's report showed.\nFor the first time in a decade, there were no public company or subsidiary defendants who admitted guilt, the report showed, something SEC officials have signaled in recent weeks will become more of a priority.","news_type":1,"symbols_score_info":{}},"isVote":1,"tweetType":1,"viewCount":788,"commentLimit":10,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"symbols":[],"verified":2,"subType":0,"readableState":1,"langContent":"CN","currentLanguage":"CN","warmUpFlag":false,"orderFlag":false,"shareable":true,"causeOfNotShareable":"","featuresForAnalytics":[],"commentAndTweetFlag":false,"andRepostAutoSelectedFlag":false,"upFlag":false,"length":4,"xxTargetLangEnum":"ZH_CN"},"commentList":[],"isCommentEnd":true,"isTiger":false,"isWeiXinMini":false,"url":"/m/post/878144480"}