Financial Assurance

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Exception Management Explained: Mastering the ‘Last Mile’ of Compliance and Risk Monitoring resource Featured Articles Member contribution

Hours, days or weeks? Those are the options that confronted senior internal auditors, compliance executives and their operational colleagues as they evaluated how long it should take for business process owners to respond to potential internal controls violations.

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"Building a Stable and Efficient Financial System" blog
Submitted by smitchell@oceg.org on May, 08 2009
Speech by SEC Chairman: "Building a Stable and Efficient Financial System" by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission Address to the Investment Company Institute ICI General Membership Meeting Washington, D.C.
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"Combating Securities Fraud at Home and Abroad" blog
Submitted by smitchell@oceg.org on Jun, 05 2009
Speech by SEC Commissioner: "Combating Securities Fraud at Home and Abroad" by Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission Third Annual Fraud and Forensic Accounting Education Conference Atlanta, Georgia
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"Compliance in Today's Environment: Step Up to the Challenge" — Remarks Before the IA Compliance Best Practices Summit 2009 blog
Submitted by smitchell@oceg.org on Mar, 12 2009
Speech by SEC Staff: "Compliance in Today's Environment: Step Up to the Challenge" — Remarks Before the IA Compliance Best Practices Summit 2009 by Lori A. Richards Director, Office of Compliance Inspections and Examinations U.S. Securities and Exchange Commission IA Week and the Investment Adviser Association Washington, D.C.
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"Equalizing Opportunities for All Americans to Participate in Financial Services" blog
Submitted by smitchell@oceg.org on Apr, 28 2009
Speech by SEC Commissioner: "Equalizing Opportunities for All Americans to Participate in Financial Services" by Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission NYSE Euronext Roundtable on Financial Literacy in Minority Communities New York, New York
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"In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies" blog
Submitted by smitchell@oceg.org on Feb, 09 2009
Speech by SEC Commissioner: "In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies" by Commissioner Kathleen L. Casey U.S. Securities and Exchange Commission Remarks at "The SEC Speaks in 2009" Washington, D.C. February 6, 2009

Good morning. I appreciate the opportunity to be with you. Before I continue, I must remind you that my remarks today are my own and do not represent the views of the SEC or my fellow commissioners.

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"Increasing Accountability and Transparency to Investors" blog
Submitted by smitchell@oceg.org on Feb, 06 2009
Speech by SEC Commissioner: "Increasing Accountability and Transparency to Investors" by Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission Remarks at "The SEC Speaks in 2009" Washington, D.C. February 6, 2009

Good afternoon everyone. Thank you for the warm reception and thank you Buddy Donohue for the kind introduction.

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"Making Investors a Priority in Regulatory Reform" blog
Submitted by smitchell@oceg.org on Apr, 21 2009
Speech by SEC Commissioner: "Making Investors a Priority in Regulatory Reform" by Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission Boston, Massachusetts
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"Principles to Help Guide Financial Regulatory Reform" — Remarks Before the Institute of International Bankers blog
Submitted by smitchell@oceg.org on Mar, 13 2009
Speech by SEC Commissioner: "Principles to Help Guide Financial Regulatory Reform" — Remarks Before the Institute of International Bankers by Commissioner Elisse B. Walter U.S. Securities and Exchange Commission 2009 Annual Washington Conference Four Seasons Hotel Washington, D.C.
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"Reinvigorating the Enforcement Program to Restore Investor Confidence" blog
Submitted by smitchell@oceg.org on Mar, 18 2009
Speech by SEC Commissioner: "Reinvigorating the Enforcement Program to Restore Investor Confidence" by Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission Introductory Remarks before the District of Columbia Bar Washington, D.C.
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