SEC issues draft 5-year plan (Dealscape

The Securities and Exchange Commission released a draft five-year strategic plan Thursday, outlining a series of 70 initiatives largely "designed to address specific problems brought to light by the global financial crisis." Those include an overhaul of how it inspects investment advisers and contemplates more disclosures for asset-backed securities.

The SEC, which its own watchdog faulted for missing the $65 billion Bernard Madoff Ponzi scheme, said in the draft plan that it will improve training and take on "structural issues" that have hurt communication in its Office of Compliance Inspections and Examinations.

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NOT A SUBSCRIBER? SEC issues draft 5-year plan Posted on October 9, 2009 4:30 PM The Securities and Exchange Commission released a draft five-year strategic plan Thursday, outlining a series of 70 initiatives largely "designed to address specific problems brought to light by the global financial crisis." Those include an overhaul of how it inspects investment advisers and contemplates more disclosures for asset-backed securities. The SEC, which its own watchdog faulted for missing the $65 billion Bernard Madoff Ponzi scheme, said in the draft plan that it will improve training and take on "structural issues" that have hurt communication in its Office of Compliance Inspections and Examinations. This is a free content preview. Subscribers enjoy access to all stories in full as well as second-to-none market intelligence. Dig deeper, with Pipeline. 234 in-depth reports of Bankruptcies in the Financial Services sector from the past year 175 articles related to Bernard Madoff 46 in-depth reports of M&A deals in Regulation from the past year 18 company pages related to Bank of America Corp. 10 years of news and analysis archives from the voice of The Deal Economy Most searched keywords Deutsche Bank Birds Eye Cadbury AG Agrium Inc. Skadden Arps Revolution Money Tandberg ASA Aisling Capital Ken Lewis Natco		EXISTING USERS Username Password Forget your password? Missing a product?

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