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S.E.C. Inspector General's Semi-Annual Report to Congress

S.E.C. Inspector General's Semi-Annual Report to Congress

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Published by DealBook
H. David Kotz, the S.E.C.'s Inspector General, finds numerous cases of misconduct among S.E.C. officials in his semiannual report to Congress.
H. David Kotz, the S.E.C.'s Inspector General, finds numerous cases of misconduct among S.E.C. officials in his semiannual report to Congress.

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Categories:Business/Law, Finance
Published by: DealBook on Dec 02, 2009
Copyright:Public Domain

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07/24/2012

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MISSION
The mission of the Office of Inspector General (OIG) is to promote the integrity, efficiency,and effectiveness of the critical programs and operations of the U.S. Securities and ExchangeCommission (SEC). This mission is best achieved by having an effective, vigorous and inde-pendent office of seasoned and talented professionals who perform the following functions:
!
U.S. Securitiesand ExchangeCommission
OFFICE OFINSPECTORGENERAL
SEMIANNUAL REPORT TOCONGRESS
   A  p  r   i   l   1 ,   2   0   0   9  -   S  e  p   t  e  m   b  e  r   3   0 ,   2   0   0   9
"
Conducting independent and objec-tive audits, evaluations, investigations,and other reviews of SEC programsand operations;
"
Preventing and detecting fraud, waste,abuse, and mismanagement in SECprograms and operations;
"
Identifying vulnerabilities in SEC sys-tems and operations and recommend-ing constructive solutions;
"
Offering expert assistance to improveSEC programs and operations;
"
Communicating timely and usefulinformation that facilitatesmanagement decision making and theachievement of measurable gains; and 
"
Keeping the Commission and theCongress fully and currently informedof significant issues and developments.

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