Morgan Lewis

SEC and DOL Agree to Cooperate in Examinations

By Investment Management Practice

LawFlash/Client Alert

  • published on:

    07/30/2008

  • by:

    Investment Management Practice

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The U.S. Department of Labor's (DOL) Employee Benefits Security Administration and the U.S. Securities and Exchange Commission (SEC) have entered into a Memorandum of Understanding (MOU) on July 28, setting forth a framework for consultation and exchange of information. The MOU was heralded as a formal recognition of the agencies’ effective and informal working relationships and their expectation of continued cooperation.

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