All OCIE articles – Page 2
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Blog
SEC introduces whistleblower 'pretaliation' to financial firm exams
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.
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Blog
SEC creates Office of Risk and Strategy
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 ...
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Blog
SEC Announces 2016 Examination Priorities
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 ...
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Article
SEC’s Concerns Prod a Rethinking of Outsourced Compliance
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 ...
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