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Browse: Home / Inspector General

Inspector General

SEC Inspector General Concludes Acting Chairman Piwowar’s Actions Were Lawful – Lexology

By Securities Docket on August 31, 2017, 7:48 am

In an investigation conducted at the request of four Senators, the SEC Inspector General concluded “we do not find that Commissioner Piwowar’s actions as Acting Chairman violated any of the laws currently governing the SEC and our review identified no evidence that his actions could either undermine the SEC’s mission or potentially prove to be […]

Posted in SEC, Top | Tagged Commissioners, Inspector General

SEC’s IT Security Under Attack as It Attacks Others | McGuireWoods LLP

By Securities Docket on June 22, 2016, 1:11 pm

The Inspector General (IG) of the U.S. Securities and Exchange Commission (SEC) reported last week that the SEC has not sufficiently implemented information technology security upgrades in order to protect highly sensitive information from data breaches. The IG reported that SEC officials failed to deactivate idle user accounts, did not ensure that owners kept their […]

Posted in SEC, Top | Tagged Cybersecurity, Inspector General

Outside Review Finds Ethics Violations by Former SEC Inspector General

Outside Review Finds Ethics Violations by Former SEC Inspector General

By Securities Docket on October 8, 2012, 7:33 pm

Outside review finds violation of ethics rules because investigations touched on people with whom former IG had “personal relationships.”

Posted in SEC, Top | Tagged Inspector General

Want to Be the SEC's Next Inspector General? Apply Here!

Want to Be the SEC’s Next Inspector General? Apply Here!

By Securities Docket on September 7, 2012, 4:23 pm

SEC asks interested applicants asked to respond by Sept. 11, 2012.

Posted in SEC, Top | Tagged Inspector General, Jobs, Lawyers

At the SEC, Investigations About Investigators Who Investigate Other Investigators

At the SEC, Investigations About Investigators Who Investigate Other Investigators

By Securities Docket on May 16, 2012, 7:44 pm

Investigators investigating investigators who are investigating investigators….

Posted in SEC, Top | Tagged Inspector General, Investigations

SEC Orders Probe Of Watchdog Office

SEC Orders Probe Of Watchdog Office

By Securities Docket on May 8, 2012, 12:52 pm

SEC orders independent inquiry into allegations of sexual misconduct by staff of its Office of the Inspector General.

Posted in SEC, Top | Tagged Inspector General, Investigations

After Four Years and Much Drama, SEC IG H. David Kotz Leaving Agency

After Four Years and Much Drama, SEC IG H. David Kotz Leaving Agency

By Securities Docket on January 17, 2012, 9:50 pm

SEC’s Inspector General leaving the agency for private sector.

Posted in People, SEC, Top | Tagged Inspector General, Regulators

The curious Mr. Kotz and the SEC

The curious Mr. Kotz and the SEC

By Securities Docket on December 9, 2011, 9:12 pm

Is the SEC’s IG promoting a “culture of fear within the agency?”

Posted in SEC | Tagged Inspector General | 1 Response

Tables turned as SEC watchdog comes under attack

Tables turned as SEC watchdog comes under attack

By Securities Docket on December 2, 2011, 1:12 pm

This year, two SEC employees have filed formal complaints against IG David Kotz.

Posted in SEC, Top | Tagged Inspector General

SEC Watchdog Clears Enforcement Chief in Citi Case

SEC Watchdog Clears Enforcement Chief in Citi Case

By Securities Docket on November 18, 2011, 2:11 pm

Report by SEC IG finds Enforcement Director did not provide any special favors in Citigroup probe.

Posted in SEC, Top | Tagged Inspector General, Investigations

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