Sunday, December 7, 2008

Compliance Staffing Letters, Speeches/Letters from SEC

SEC issued a Letter to BDs, IAs,investment companies and transfer agents, to remind of the critical role played by their firms' compliance programs in assuring that operations comply with the law and rules and to ensure that clients are protected. The open letter follows SEC Chairman Cox's remarks at the SEC 11/13/08 CCOutreach National Seminar. SEC Links posted 12/2

SEC approved measures to strengthen oversight of credit rating agencies. Video and more from SEC
Debt Watchdogs: Tamed or Caught Napping? Page 1 NYT Lured by profits during the housing boom, credit-rating agencies overlooked the risk of mortgage debt, critics say.

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