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 | The SEC OIG has released two reports detailing deficiencies discovered within the SEC Enforcement Division and Office of Compliance, Inspections & Examinations (OCIE) following the Madoff scandal. The reports contain 58 recommended changes for the SEC programs combined. In response, Acting Director John Walsh of OCIE and Director Robert Khuzami of Enforcement have generally concurred with the findings and have already started the process of implementing many of the recommended changes. View SEC OIG Report on Enforcement FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit www.frontlinecompliance.com.
FrontLine Compliance, LLC |
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