鲍勃袭口：秒的巡逻队的顶级警察

鲍勃袭口，其中一项证券和交易委员会负责监测美国货币管理人员的首席警察坐落于II讨论过去的失败，新法规和财务监管的未来。

Institutional Investor:当麦克福德新闻打破时，似乎华尔街统一地颤抖着，“如果伯尼麦克福夫歪歪扭扭，还有谁是冰山一角？

Plaze: My perception is that most people in this industry are honest, law-abiding individuals. But even a few lawbreakers can cause tremendous damage. The people I talk to are terribly upset by what happened and the pain we feel here at the SEC is shared by many. Most people in the industry were horrified by these events.

你有没有殴打自己？

I think everybody in this agency has, and I’m no exception. After you get past the horror and the breast beating, you have to focus on you’re your core responsibility -- simply identifying the controls that can prevent it from happening again.

就此而言，告诉我关于IARD的信息。

Under the Investment Adviser Registration Depository, all advisers report information to us electronically. It’s a registration form that captures a lot of information. In this current round of rule making, we’re looking to amend the form to capture more and hopefully better information to lengthen our regulatory reach and leverage our existing resources. Every government agency including the SEC has limited resources. If we can identify people who are not in compliance by simply running a report on this system, we can better deploy our resources.

我们都听说，秒压缩并不堪重负。您希望获得更多资源吗？

没有机构或部门会说他们不需要更多的资源。我们可以做得更好，并更快地做到这一点。该机构的预算将在2010年增加七分之七。让我告诉你，所有分歧的每个人都会说'我先。'

There’s a perception that the agency has too many inexperienced people. Is that fair?

这是公平的，这是不公平的。我们有一些非常经验丰富的人，我们一直在将人们带到有私营部门在许多领域的经验。我们还招募并培训了很多人以后在行业中出去，以某种方式是我们自己的延伸。如果您是律师，您正在向客户提供指导，或者如果您在一家金钱管理公司的内部律师，并且您真正了解法律，那将以积极的方式影响该行业。我认为该机构在有经验丰富的人和新的，渴望的人的结合时最为努力。

On hedge fund regulation, [Chairman] Mary Schapiro has said the SEC wants to go beyond just requiring hedge funds to register. What can hedge fund managers expect?

Any steps forward in this area will need to be done by Congress, and there is a conversation going on among members of Congress, the administration and SEC staff as to what that might look like.

What has changed the most at the SEC since you arrived?

I remember in October 1987 on Black Monday, we were at work all day and we didn’t know what was going on. We didn’t have computers back then and nobody had a TV in their office. It wasn’t until someone’s wife called up at 4:30 pm after the market had closed that anyone here even knew we were in the middle of a crash. Now, if something’s going on in the market, we know immediately. We have a market watch room down the hall and around the corner where we can go and we can see the screens.

你是否会受到沮丧的传递规则，然后观看行业的成员提出来绕过它们？

One of the advantages of being around as long as I have is that you are involved in subsequent rule-makings. When Congress passes legislation, it might not get the chance to make fixes for a decade or two. As an administrative agency, we get to revisit rules because we are engaged with the industry on many levels and we have the ability to discover what’s going on. If we’ve made a mistake or left a loophole, there are ways to fix it.

Do you think the money management industry will embrace greater transparency, or are they kicking and screaming?

They recognize that there is an issue out here and whether it’s justified or not, in the view of the public, there’s tarnish. This is an industry that works on trust and as I’ve mentioned before, all my experience tells me that most of these people are trustworthy and good business people. But I do think there’s a recognition that the industry and government must take steps to restore that trust.