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ARTICLE · 07 APRIL 2008

SEC: Top Issues In Examinations for 2008

Duane Morris LLP
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At the SIFMA CL Annual Meeting in Orlando, Florida, on April 1, Lori Richards, the Director of the Securities and Exchange Commission's Office of Compliance, Inspections and Examinations, presented a list of the SEC's top 10 issues in examinations that it will be focusing on this year.

United StatesCorporate/Commercial Law
Duane Morris
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At the SIFMA CL Annual Meeting in Orlando, Florida, on April 1, Lori Richards, the Director of the Securities and Exchange Commission's Office of Compliance, Inspections and Examinations, presented a list of the SEC's top 10 issues in examinations that it will be focusing on this year. Featured on that list were:

  • supervision
  • internal controls
  • anti-money laundering, and
  • information and account security.

If you would like additional information or to discuss these issues further, please contact:

Jason R. Pickholz, New York (white collar, securities defense, regulatory enforcement),

Marvin G. Pickholz, New York (white collar, securities defense, regulatory enforcement),

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