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International Monetary Fund. Monetary and Capital Markets Department

A. SEC Enforcement Program Structure B. SEC Investigation Process C. SEC Initiatives to Address Recommendations of the World Bank FSAP and IOSCO RT III. Recommendation A. Streamline the Enforcement Program B. Adaptation of Criteria for Prioritizing Investigations/Cases C. Accountability Management System D. Publication of the Results of Enforcement Actions, Policies, and Procedures E. Metrics to Measure the Effectiveness/Credible Deterrence of the Enforcement Program Table 1. Summary of Key Recommendations Figure 1. Surveillance

International Monetary Fund. Monetary and Capital Markets Department

, Investigations and the new Litigation Division (whose functions were previously handled by the Legal and Enforcement Division). 8. At present, the position of Director of Investigations is vacant, and the Director of Surveillance is also overseeing the External Affairs Division . The SEC is actively recruiting to fill the open director positions, but there is a very limited pool of candidates in Sri Lanka qualified for these highly-specialized leadership roles. B. SEC Investigation Process 9. SEC investigations are commenced based on a variety of sources of