Join our mailing list!
(Your shopping cart is empty)
Diane Publishing Books
Securities and Exchange Commission: Continued Management Attention Would Strengthen Internal Supervisory Controls
A. Nicole Clowers (au)
Recent high-profile securities frauds have raised questions about the internal controls that the Securities and Exchange Comm. (SEC) has in place to help ensure that staff carry out their work completely and in a manner consistent with applicable policies and procedures. Section 961 of the Dodd-Frank Act directs SEC to annually assess and report on internal supervisory controls for staff performing examinations, corporate financial securities filing reviews, and investigations. The act also requires a review of SECäó»s structure for internal supervisory control applicable to staff working in those offices. This report examines the (1) steps the offices took to develop an internal supervisory control framework; (2) internal supervisory controls each office has implemented; and (3) extent to which the internal supervisory controls have operated as intended. Tables and figures. This is a print on demand report.
Creole Flavors: Recipes for Marinades, Rubs, Sauces, & Spices
Secret World of the Spy: Stories of Espionage, Deception & Discovery
Not Fade Away: The On-Line World Remembers Jerry Garcia
Commonwealth of Science: ANZAAS & the Scientific Enterprise in Australia, 1888-1988
Share your knowledge of this product with other customers...
Be the first to write a review
Diane Publishing Co
PO Box 617
Darby, PA 19023-0617
Become an Affiliate
Send Us Feedback
Copyright ï¿½ 2004 Diane Publishing Company. All Rights Reserved.