All OCIE articles

  • RisksAhead
    Article

    Risk alert: CCOs should examine policies around advisers’ adherence to disclosure rules

    2019-09-10T13:44:00Z

    The SEC’s Office of Compliance Inspections and Examinations suggests a policy and procedure review for investment advisers for certain “principal trades” involving clients.

  • Peter-Driscoll
    Article

    OCIE’s Driscoll on importance of CCOs

    2019-05-15T19:44:00Z

    Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.

  • riskalert
    Article

    OCIE issues risk alert on Regulation S-P

    2019-04-23T19:24:00Z

    The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.

  • Blog post

    OCIE: Mitigating the risks of electronic messaging systems

    2019-01-04T12:00:00Z

    Registered investment advisers will want to pay attention to some recent observations shared by the Office of Compliance Inspections and Examinations following an examination initiative it conducted that offers some key insights for firms to consider to strengthen their supervisory, compliance, and risk-management practices related to the use of electronic ...

  • Blog post

    New appointments at the SEC

    2018-07-26T14:15:00Z

    The SEC has announced new appointments to the Office of Compliance Inspections and Examinations, as well to the Division of Trading and Markets.

  • Blog post

    SEC names chief risk and strategy officer of the OCIE

    2018-05-18T15:00:00Z

    The SEC has named James Reese as chief risk and strategy officer of the agency’s Office of Compliance Inspections and Examinations. Reese has served as acting chief since February 2017.

  • Blog post

    OCIE announces 2018 examination priorities

    2018-02-08T13:30:00Z

    The SEC's Office of Compliance Inspections and Examination has announced its 2018 examination priorities. Making the list are policies and controls related to cyber-security, money laundering, and retail investor fraud.

  • Blog post

    Risk alert spotlights exam pitfalls for investment advisers

    2017-02-08T16:30:00Z

    The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert that details the most prevalent compliance miscues identified in its examinations of investment advisers

  • Blog post

    SEC details 2017 examination priorities

    2017-01-12T21:30:00Z

    The SEC has announced its Office of Compliance Inspections and Examinations’ priorities for the new year. Added areas of focus, writes Joe Mont, include electronic investment advice, money market funds, and the financial exploitation of senior investors.

  • Blog post

    SEC introduces whistleblower 'pretaliation' to financial firm exams

    2016-10-27T15:15:00Z

    The Securities and Exchange Commission's hunt for whistleblower “pretaliation” will now be a part of its nationwide examination and inspection program for financial firms.

  • Blog post

    SEC creates Office of Risk and Strategy

    2016-03-08T13:00:00Z

    The SEC is creating an Office of Risk and Strategy within its Office of Compliance Inspections and Examinations, which will consolidate and streamline risk assessment, market surveillance, and quantitative analysis teams and provide operational risk management and organizational strategy for OCIE. Peter Driscoll will lead the office and has been ...

  • Blog post

    SEC Announces 2016 Examination Priorities

    2016-01-11T11:45:00Z

    The SEC’s Office of Compliance Inspections and Examinations has released an overview of its examination priorities for 2016. New areas of focus include liquidity controls, public pension advisers, product promotion, exchange-traded funds, and variable annuities. A continuing focus will be placed on protecting investors in ongoing risk areas such as ...

  • Article

    SEC’s Concerns Prod a Rethinking of Outsourced Compliance

    2015-12-08T13:45:00Z

    Image: Faced with budget constraints, firms frequently turn to external professionals to supplement compliance programs—but the SEC has provided a laundry list of problems with that approach. “The SEC has not banned outsourced compliance in any way or said it is presumptively disfavored, but reading between the lines you get ...