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SEC-OIG Semiannual Report to Congress (Oct 2012 to Mar 2013)

SEC-OIG Semiannual Report to Congress (Oct 2012 to Mar 2013)

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Published by: Vanessa Schoenthaler on Jun 03, 2013
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12/11/2013

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SmiaualRport to CogrssOctobr 1, 2012 toMarc 31, 2013
Office Of
inspectOr General
U.S. SeCURITIeS AndexChAnGe COMMISSIOn
 
OCTOBER 1, 2012–MARCH 31, 2013 |

 

 
Office Of inspectOr General
Semiannual RepoRt to CongReSS
OctOber 1, 2012–March 31, 2013
T
he mission o the Oce o Inspector General (OIG) is to promote the integrity,eciency, and eectiveness o the critical programs and operations o the UnitedStates (U.S.) Securities and Exchange Commission (SEC or Commission). Thismission is best achieved by having an eective, vigorous, and independent oce o seasoned and talented proessionals who perorm the ollowing unctions:
•
 
Conducting
 
independent
 
and
 
objective
 
audits,
 
evaluations,
 
investigations,
 
and
 
other
 
reviews o SEC programs and operations;
•
 
Preventing
 
and
 
detecting
 
fraud,
 
waste,
 
abuse,
 
and
 
mismanagement
 
in
 
SEC
 
programs
 
and operations;
•
 
Identifying
 
vulnerabilities
 
in
 
SEC
 
systems
 
and
 
operations
 
and
 
recommending
 
constructive solutions;
•
 
Offering
 
expert
 
assistance
 
to
 
improve
 
SEC
 
programs
 
and
 
operations;
 
•
 
Communicating
 
timely
 
and
 
useful
 
information
 
that
 
facilitates
 
management
 
decision
 
making and the achievement o measurable gains; and
•
 
Keeping
 
the
 
Commission
 
and
 
Congress
 
fully
 
and
 
currently
 
informed
 
of 
 
signicant
 
issues and developments.
i

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