Office of Investigations » Overview
The Office of Investigations within the OIG responds to allegations of violations of statutes, rules and regulations, and other misconduct by Commission staff and contractors. The misconduct investigated ranges from criminal wrongdoing and fraud to violations of Commission rules and policies and the Government-wide conduct standards.
The Office of Investigations conducts thorough and independent investigations into allegations received in accordance with the Quality Standards for Investigations, issued in December 2003, by the President’s Council on Integrity and Efficiency and the Executive Council on Integrity and Efficiency. After conducting a preliminary inquiry into a matter, if warranted, the OIG will commence an investigation of the allegation. Where there is any reason to believe a witness will not provide truthful testimony, the OIG investigator provides an appropriate perjury warning. In addition, the OIG investigator gives assurances of confidentiality to potential witnesses who have expressed reluctance to come forward.
Where allegations of criminal conduct are involved, the OIG Office of Investigations notifies and works with the Department of Justice and the Federal Bureau of Investigation as appropriate. The Office also collaborates closely with other Federal Offices of Inspector General and law enforcement agencies.
The Office of Investigations has procedures in place to provide for the confidential or anonymous reporting of staff and contractor misconduct to the OIG. The Office takes appropriate steps to protect the rights of SEC employees to complain to the OIG without fear of retaliation and investigates claims of retaliation or reprisal for the disclosure or report of wrongdoing or misconduct.
