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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.
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