Internal controls (11 - 20 of 48 items)
USA Patriot Act: Better Interagency Coordination and Implementing Guidance for Section 311 Could Improve U.S. Anti-Money Laundering Efforts
GAO-08-1058: Published: Sep 30, 2008. Publicly Released: Oct 30, 2008.
Since September 11, 2001, the United States has established tools to address the threat to the U.S. financial system of money laundering and terrorist financing. One such tool is Section 311 of the USA PATRIOT Act of 2001, which authorizes the Secretary of the Treasury (Treasury) to prohibit U.S. financial institutions from maintaining certain accounts for foreign banks if they involve foreign jur...
Securities and Exchange Commission: Additional Actions Needed to Ensure Planned Improvements Address Limitations in Enforcement Division Operations
GAO-07-830: Published: Aug 15, 2007. Publicly Released: Sep 17, 2007.
The Securities and Exchange Commission's (SEC) ability to conduct investigations and bring enforcement actions for violations of securities laws is critical to its mission to protect investors and maintain fair and orderly markets. SEC's Division of Enforcement (Enforcement) is charged with investigating securities law violations; recommending civil enforcement actions when appropriate, either in...
Inspectors General: Proposals to Strengthen Independence and Accountability
GAO-07-1021T: Published: Jun 20, 2007. Publicly Released: Jun 20, 2007.
H.R. 928, Improving Government Accountability Act, contains proposals intended to enhance the independence of the inspectors general and to create a Council of the Inspectors General on Integrity and Efficiency. This testimony provides information and views about the specific proposals based on GAO's prior work. We believe that effective, ongoing coordination of the federal oversight efforts of GA...
Department of Homeland Security: Addressing Management Challenges That Face Immigration Enforcement Agencies
GAO-05-664T: Published: May 5, 2005. Publicly Released: May 5, 2005.
The Department of Homeland Security (DHS) assumed responsibility for the immigration programs of the former Immigration and Naturalization Service (INS) in 2003. The three DHS bureaus with primary responsibility for immigration functions are U.S. Customs and Border Protection (CBP), U.S. Immigration and Customs Enforcement (ICE), and U.S. Citizenship and Immigration Services (CIS). This testimony...
Criminal Debt: Oversight and Actions Needed to Address Deficiencies in Collection Processes
GAO-01-664: Published: Jul 16, 2001. Publicly Released: Aug 16, 2001.
The collection of outstanding criminal debt has been a long-standing problem for the federal government. Since October 1985, as reported in the U.S. Attorney's statistical reports, the balance of outstanding criminal debt has grown from $260 million to more than $13 billion. Currently, the receipting of collections and recordkeeping for criminal debt is primarily the responsibility of the U.S. Cou...
Regulatory Initiatives of the National Association of Insurance Commissioners
GAO-01-885R: Published: Jul 6, 2001. Publicly Released: Aug 6, 2001.
Efforts by the National Association of Insurance Commissioners (NAIC) to promote sound and uniform regulatory processes across the states are being put to the test as pressure builds from both the 1999 Gramm-Leach-Bliley Act and competitive forces for more efficient and streamlined insurance regulatory processes. One factor affecting the ultimate success of these efforts is the level of confidence...
D.C. Criminal Justice System: Better Coordination Needed Among Participating Agencies
GAO-01-187: Published: Mar 30, 2001. Publicly Released: Mar 30, 2001.
Effective coordination of the many agencies that participate in a criminal justice system is key to overall success. Although any criminal justice system faces coordination challenges, the unique structure and funding of the District of Columbia (D.C.) criminal justice system, in which federal and D.C. jurisdictional boundaries and dollars are blended, creates additional challenges. Almost every s...
Financial Services Regulators: Better Information Sharing Could Reduce Fraud
GAO-01-478T: Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.
The sharing of regulatory and criminal history data among financial services regulators can reduce fraudulent activities. GAO recently reported on several instances in which unscrupulous brokers moved from one financial industry to another. This testimony focuses on (1) systems used by financial regulators for tracking regulatory history data, (2) regulatory history data needed to help prevent ro...
Illegal Aliens: INS Participation in Antigang Task Forces in Los Angeles
GAO-01-78: Published: Oct 26, 2000. Publicly Released: Nov 21, 2000.
Department of Justice policy encourages cooperation among law enforcement agencies at all levels. The Los Angeles Police Department (LAPD) and the Immigration and Naturalization Service (INS) participated in two such task forces, the Organized Crime Drug Enforcement Task Force (OCDETF) and the Violent Gang Task Force. These task forces have come under public and legal scrutiny for possible miscond...
Information Security: Software Change Controls at the Department of Justice
AIMD-00-191R: Published: Jun 30, 2000. Publicly Released: Jun 30, 2000.
Pursuant to a congressional request, GAO reviewed software change controls at the Department of Justice (DOJ), focusing on: (1) whether key controls as described in agency policies and procedures regarding software change authorization, testing, and approval complied with federal guidance; and (2) the extent to which agencies contracted for year 2000 remediation of mission-critical systems and inv...