All OCIE articles – Page 2

  • 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 ...