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“So this was how our assistant directors were finding their guidance? Dug up from five-year-old e-mails? Later I learned that the staff members had to print out their e-mails in order to store them in safety. Evidently, the New York office server was scrubbed periodically to free up storage space. Dawn couldn’t save e-mails on her computer for long. I didn’t know whether to laugh or cry. A five-year-old crumpled paper copy of an e-mail in one employee’s files held crucial documentation for a federal agency? If SEC inspectors ever arrived at a financial firm for an examination and discovered that the firm had no manual on how to comply with federal securities laws, that firm would immediately be cited for deficiencies and most likely subject to enforcement action.”
― Going Public: My Adventures Inside the SEC and How to Prevent the Next Devastating Crisis
― Going Public: My Adventures Inside the SEC and How to Prevent the Next Devastating Crisis
“The 2013 collective bargaining agreement governing working conditions for SEC nonsupervisory employees goes as far as to provide that a certain number of employees can work from home five days a week.”
― Going Public: My Adventures Inside the SEC and How to Prevent the Next Devastating Crisis
― Going Public: My Adventures Inside the SEC and How to Prevent the Next Devastating Crisis
