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SEC OIG Recommends Continous Surveillance of Large Companies

SEC OIG Recommends Continous Surveillance of Large Companies

by Rick Turoczy on June 26, 2006

Although the SEC may be seen as having suffered a setback in its surveillance activities by virtue of the recent court decision regarding hedge funds, less press has been devoted to a recent recommendation of the SEC’s Office of Inspector General (OIG) in its report posted on the SEC website Thursday recommending the SEC’s Division of Corporation Finance (Corp Fin) engage in continuous surveillance of large public companies, in a manner similar to that used by the SEC’s Office of Compliance Inspection and Examination. The report concerned the SEC OIG’s audit of Corp Fin’s “preliminary review program” – i.e. preliminary reviews of corporate filings, which can trigger a “full review.”

SEC OIG Recommends Continous Surveillance of Large Companies

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