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Submitted by sucduit on September 22, 2005
Category: Business
Words: 2297 | Pages: 10
Views: 318
Popularity Rank: 29,607
Average Member Grade: N/A (Add a Comment / Grade this Paper)
corporate goverance
I. Introduction
Thank you and good morning. It's a pleasure to be here with all of you today to discuss the regulation of mutual funds in the United States. In my view, the regulatory scheme governing investment companies is one of the most important areas of the U.S. securities laws. This is because of the tremendous size of the industry that it regulates and the importance of the U.S. fund industry to the financial health of millions of Americ
V. Role of SEC Offices and Divisions
My Division of the SEC, the Division of Investment Management, is responsible for administering and interpreting the provisions of the Investment Company Act. However, we are greatly assisted in efforts to protect investment company investors through the efforts of other Offices and Divisions of the SEC, particularly our Office of Compliance, Inspections and Examinations, the Office of Investor Education and Assistance, and the Division of Enforcement.
A. Office of Compliance, Inspections and Examinations
Our Office of Compliance, Inspections and Examinations conducts the SEC's examination program of investment companies and investment advisers. They conduct inspections to foster compliance with the securities laws, to detect violations of those laws, and to keep the SEC informed of developments in the investment management industry. One of the most important objectives of this program is the quick and informal correction of compliance problems. Violations that appear too serious for informal correction are referred to our Division of Enforcement.
B. Division of Enforcement
Our Division of Enforcement investigates possible violations of the securities laws and, when appropriate, recommends that the SEC file enforcement actions, either in a U.S. federal court or in an administrative proceeding. While the SEC has civil enforcement authority only, we work closely with various criminal law...
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