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April 3, 2012

SEC’s risk monitors home in on boards

The Securities and Exchange Commission has held meetings about risk management with directors at Goldman Sachs and several other financial groups in an attempt to increase accountability at board level.

Directors at Goldman, Morgan Stanley, Barclays, Wells Fargo, Wedbush Securities and credit rating and clearing firms have met SEC examiners since last summer, said people familiar with the matter. Meetings with other companies are planned.

The fresh focus comes as the SEC reorganises itself after being criticised for weak monitoring of brokers in the run-up to the financial crisis and missteps in inspecting companies run by Bernard Madoff and Allen Stanford.

Read the full story here 

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