Publication | Corporate Compliance Insights
Steps to Prepare for a Focused and Reinvigorated SEC
David Martin with Charles Lundelius, James Conversano, and Jennifer Hull
In this article, David Martin (with Charles Lundelius, James Conversano, and Jennifer Hull) assesses the Security and Exchange Commission’s (SEC) investigation into and recommendations for reform after Bernard Madoff’s Ponzi scheme. An independent investigative team performed a thorough review of the SEC’s Office of Compliance Inspections and Examinations (OCIE) and provided specific recommendations for OCIE’s future operations. The authors detail the SEC’s response and share steps for how companies can prepare for more focused and prepared examination by the SEC.