SEC’s Division of Enforcement – Reorganization and New Cooperation InitiativePosted: Jan 21, 2010 The SEC’s Division of Enforcement has recently undergone a comprehensive reorganization, and the SEC has announced the appointment of leaders to five newly formed national specialized units – Asset Management, Market Abuse, Structured and New Products, Municipal Securities, and Foreign Corrupt Practices Act – with the goal of making investigations more targeted and efficient. They have also created a new Office of Market Intelligence, tasked with monitoring, collecting and analyzing complaints and referrals received from the SEC. In addition, the Division has announced a new cooperation initiative, under which in the appropriate circumstances they will enter into formal agreements with individuals, and in some cases corporations, who cooperate with investigations. These recent undertakings may have implications for your company and its reporting and interaction with the government. Click on the links provided below for further information. SEC Delegations of Authority to the Director of its Division of Enforcement
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